AI and SEC Compliance: A Marketer's Guide to Thriving in the New Regulatory Era

Learn how technology can deliver personalization at scale while empowering financial professionals to exceed customer expectations.

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The new SEC marketing rule has prompted marketers to find innovative ways to comply with FINRA and SEC regulations while driving effective marketing strategies. New regulations and AI will provide first-movers with a competitive edge as investors seek personalized investment strategies, transparency, and convenience.

Join Shane Closser, Head of Industry Financial Services & Insurance, Yext, Conway Dodge, Deputy Head of the Americas & Head of Compliance at Promontory, and Michael Vorhis, Director at Promontory, as they dive into how you can navigate the new SEC Marketing Rule to deliver personalized experiences, leverage tech like AI, and ultimately achieve business growth.

This session will cover:

• The tectonic shift in customer expectations - transparency, reviews, and trust
• The impact of testimonials and reviews to new client acquisitions and AUM - executive business case
• Outline a playbook for marketers and compliance teams to navigate the regulatory landscape
• Important cases and policies to manage AI content generation and reputation management within financial services

Register today to be armed with best-in-class experiences for the customer, financial professional and compliance officers to balance business value with regulatory risk.

Conway Dodge
Deputy Head of the Americas & Head of Compliance and Former Assistant Director in the SEC’s Division of Enforcement

Michael Vorhis
Director

Shane Closser
Head of Industry, Financial Services