Comply Announces ComplyAI: Establishing a Responsible AI Governance Standard for Regulated Financial Services 
Marketing and compliance teams are under increasing pressure to move faster without exposing their firms to regulatory risk. Since the adoption of the SEC Marketing Rule, regulators have made advertising practices a clear enforcement priority, with actions targeting misleading performance claims, inadequate disclosures, and improper use of testimonials and endorsements.
Join Wendy Werve, Chief Market Officer at Comply, and Dorothy Podzemny, Director of Comprehensive Consulting Services at Comply for a discussion on how to build more efficient and compliant marketing programs.
Together, they offer a rare, dual-lens perspective – where marketing strategy meets regulatory reality – making this session especially valuable for compliance and marketing leaders.
In this session, we’ll cover:
- How marketing and compliance teams can work together to streamline approvals
- What regulators are focusing on in Marketing Rule enforcement and exams
- Key takeaways from the SEC’s Risk Alerts and guidance on testimonials, endorsements, and performance advertising
- Steps to create a repeatable, exam-ready marketing oversight framework
Feel free to invite your marketing peers! We want this discussion to be collaborative between the two departments.