08.25.25

How Advisors Use AI for Compliant Marketing and Client Communication

by: Mela Seyoum

Financial advisors are increasingly leveraging AI-driven compliance tools to save time and reduce costs, though adoption requires careful consideration of firm needs, data security and regulatory requirements. Tools like Saifr, developed by Fidelity Labs, and Archive Intel help monitor marketing content, emails and social media for potential regulatory violations under SEC and FINRA rules. Advisors report significant efficiency gains, with Archive Intel reducing email reviews from 5,000 to 800 weekly. Industry experts stress that AI tools must be industry-specific, secure and supplemented with human oversight. Smaller firms, in particular, may benefit, but advisors should establish AI acceptable-use policies.

Read the full article on Financial Advisor IQ