Daily
Testimonials And Endorsements
Language that reads as a client testimonial or endorsement, reviewed against Rule 206(4)-1.
Marketing Compliance
Spot Marketing Rule Risk In Outbound Email
Glynac reviews outbound marketing email and attachments against the SEC Marketing Rule every day.
- RunsDaily
- NeedsMicrosoft 365
- Who decidesYour reviewer
The buyer problem
Why This Matters
Reading every outbound email by hand for Marketing Rule triggers does not scale across an advisor base.
Issues usually surface only after the email has already gone out, and by then the exposure is already out there.
What Glynac checks
What Gets Checked
Outbound marketing email and attachments from connected Microsoft 365 mailboxes.
Daily
Performance Claims
Promissory or unsupported performance language, such as promises of guaranteed returns.
Daily
Hypothetical Performance
Hypothetical or projected performance figures that may need accompanying disclosure.
Built in
Built To Avoid False Alarms
A claim that sits next to its required disclosure is not flagged. Reports are grouped one per firm, per day, per issue type.
What your reviewer sees
Everything Needed To Decide
- The message and the phrase that triggered the report
- Why it may be a Marketing Rule issue, in plain language
- A severity, so the serious ones are not buried
- A place for the reviewer to close it as Action Taken or No Action Needed
Where a person decides
The Decision Stays With Your Team
Glynac never rules on a violation. It surfaces, explains and prioritizes, and your CCO decides. For advisors it means a fast correction loop: flagged content gets fixed and reissued quickly instead of sitting out there as exposure for weeks.
Action TakenNo Action Needed
Scope and limitations
What To Know Before You Start
We say this upfront so there are no surprises later.
- Covers connected Microsoft 365 email and attachments, and runs daily. Other channels are not covered.
- Email subject and body text are privacy-masked before review. Text extracted from attachments is not masked yet, and reaches the classifier and the reviewer card as extracted.
- Needs Microsoft 365.
- Scoring of marketing risk in context uses AI, and a person always reviews the result.
Questions
Marketing Compliance: Good To Know
Connected Microsoft 365 email and attachments. Glynac does not claim coverage of other channels.
Mostly, with one gap we state upfront. Email subject and body text are masked before any analysis. Text extracted from attachments, such as a performance deck, is not masked yet.
No. It is built to avoid false alarms, so a claim shown next to its required disclosure is not flagged.
No. Glynac surfaces, explains and prioritizes. A person makes the final call.
More workflows
Other Workflows
Weekly and monthly
13F Intelligence
Crowded positions, clone risk and strategy drift, checked against the wider market of institutional filings.
Weekly
Form ADV Monitoring
Flags when the AUM in your Form ADV Part 2A brochure drifts away from your live book.
Daily
Vendor Due Diligence
Watches for breaches, outages and regulatory action at your vendors, with a citable source for every finding.
Ongoing
Client Relationship Monitoring
Flags client relationships that are going cold, before the client starts looking elsewhere.
Request a demo
See Marketing Compliance In A Demo
We will show the report, the evidence behind it, and how your reviewer closes it out.
