AI-powered content review, structured approval workflows, and digital channel supervision — purpose-built for regulated investment firms managing marketing compliance obligations across every stage of the content lifecycle.
ComplyCore evaluates marketing content against structured compliance rules — identifying what the claim says, which regulatory principle it may violate, why it creates risk, and what compliant alternative wording looks like. Every finding is a reasoned analysis, not a flag.
Marketing, Subject Matter Experts, and Compliance teams collaborate within a single auditable workflow. Every version, comment, reviewer action, and timestamp is captured — creating a defensible supervisory record that stands up to regulatory examination.
From first submission to archived approval record — ComplyCore manages every stage of the marketing compliance lifecycle in one place.
Evaluates marketing content against structured compliance rules. Identifies risk, references the applicable regulatory principle, and suggests compliant wording.
Marketing, SME, and Compliance roles with distinct access and responsibilities — all collaborating within a single structured approval pipeline.
Monitors firm and employee LinkedIn channels for new marketing activity. Compliance teams receive automated alerts and daily risk summaries.
Every version, AI finding, comment, and approval decision is stored permanently — creating a supervisory archive built for regulatory examination.
Tracks recurring regulatory issues, rejected language patterns, workflow bottlenecks, and review turnaround times to drive continuous improvement.
Full version history for every material reviewed. AI findings, comments, and reviewer actions are linked to the exact document version they reference.
Generic document tools and keyword checkers were not designed for the regulatory scrutiny investment firms face. ComplyCore is a purpose-built compliance operating system — not a repurposed SaaS product.
AI advises — compliance decides
The AI surfaces risk indicators and suggests alternatives. Every approval decision is made by a qualified compliance professional. Always.
Regulatory reasoning, not keyword flags
Findings reference the applicable regulatory principle and explain why the language creates risk — giving reviewers the context to make informed decisions.
Purpose-built for Canadian investment firms
Designed for the regulatory environment governing CIRO-regulated dealers, portfolio managers, and other registrants under CSA and provincial securities legislation.
Supervisory framework, not just a tool
The stored review record — versions, findings, comments, and approvals — creates a defensible supervisory archive that supports examinations and audit.
3
Roles, one workflow
Marketing · SME · Compliance
360°
Compliance coverage
documents + digital channels
0
Autonomous approvals
humans always make the final call
100%
Audit trail
every action, version, and decision
Marketing teams upload materials for review. Subject Matter Experts validate factual accuracy. All submissions are versioned and time-stamped from the moment they enter the workflow.
The AI scans content against structured regulatory rules — identifying risk indicators, referencing the applicable principle, and suggesting compliant alternative wording for each finding.
Compliance reviews AI findings, resolves comments, and makes the final decision. The complete review record is stored permanently — versions, findings, approvals, and all.
If your firm produces it as a marketing communication, ComplyCore can review it. Every content type flows through the same structured, auditable process.
Investor Letters
Client communications and fund updates
Fund Brochures
Fact sheets and offering materials
Social Media Posts
LinkedIn, firm and advisor channels
Blog Posts & Articles
Thought leadership and market commentary
Client Presentations
Pitch decks and advisor presentations
Email Campaigns
Client newsletters and marketing emails
Website Content
Web pages and landing page copy
Press Releases
Media announcements and firm statements
ComplyCore is built to meet the data security and access control expectations of regulated Canadian investment firms — with Canadian data residency available.
SAML 2.0 and OIDC single sign-on with mandatory multi-factor authentication. Works with your existing identity provider.
Granular role-based access control for Marketing, SME, and Compliance roles. Each user sees only what their role permits.
All data encrypted in transit (TLS) and at rest (AES-256). Canadian data residency available for firms with specific governance requirements.
Every login, review action, approval, and system event is logged and tamper-proof — supporting regulatory examination and internal governance.
No. ComplyCore is a decision-support tool, not an autonomous approver. The AI identifies regulatory risk indicators, references the applicable regulatory principle, and suggests compliant alternative wording — but all approval decisions remain with your qualified compliance professionals. We extend your team's capacity; we do not replace their judgment.
The AI evaluates marketing content against structured compliance rules and produces findings that identify: the specific claim, the applicable regulatory principle, why the language is potentially problematic, and a compliant alternative. Compliance officers review these findings and make all final decisions. The AI acts as a first-pass regulatory analysis layer, not an autonomous gatekeeper.
ComplyCore handles the full spectrum of marketing content including investor letters, fund brochures, fact sheets, blog posts and articles, social media posts, client presentations, email campaigns, website content, and press releases. If your firm produces it as a marketing communication, it can be reviewed here.
Yes. ComplyCore can monitor firm and employee LinkedIn channels to identify new marketing activity and flag potentially non-compliant messaging. Compliance teams receive automated alerts and daily risk summaries, enabling proactive supervision without manual channel-by-channel checks.
Materials flow through a structured pipeline: Marketing submits → Subject Matter Experts validate factual accuracy → Compliance conducts the regulatory review. Each stage captures the reviewer's identity, actions, comments, and timestamps. The complete record is preserved and accessible at every step.
The full review record — including document versions, AI findings, reviewer comments, unresolved issues, and approval history — is stored permanently. This creates a defensible supervisory archive that supports regulatory examinations, complaint investigations, and internal governance requirements.
Yes. The platform is designed specifically for the regulatory environment governing Canadian investment firms — including CIRO-regulated investment dealers and mutual fund dealers, portfolio managers, and other registrants subject to CSA and provincial securities legislation.
ComplyCore is built with enterprise-grade security including SSO, role-based access control (RBAC), TLS encryption in transit, AES-256 encryption at rest, and immutable audit logs. Canadian data residency is available for firms with specific regulatory or governance requirements.
Purpose-built for Canadian investment firms. Book a demo to see how ComplyCore fits into your existing compliance workflow.