Regulatory Compliance and the Power of AI Platforms


The regulatory environment in which highly regulated finserv companies must operate has expanded enormously. Financial service institutions, such as banks, wealth management and insurance companies are being monitored more closely and regulations are being enforced more vigorously than ever. Fines in excess of a billion dollars have been levied in some cases. Internally, many institutions’ human resources teams enact a zero tolerance policy on personnel whose negligence, or ignorance of current regulatory guidelines, leads to such fines.

For all of the uncertainty in the financial services industry, one thing is clear: getting compliance right is critical. Mitigating risk, expediting time-to-market, while landing and expanding customer relationships, are all musts for martech leaders in this complex, competitive compliance arena.

Tech’s Role in Driving Relationships, Revenue and Regulatory Compliance

In an effort to offer relevant and resourceful insight into industry innovations, here’s a run-down of regulatory compliance platforms purposely built for financial services.

Naehas offers an innovative solution, Intelligent Reviews, facilitated by Artificial Intelligence. It delivers value by enabling financial service institutions, wealth management firms and insurance companies across the United States a means to compliance management. Implementing best practices in financial services, and meeting the day to day demands placed on marketing technology teams, while driving growth, is no easy task. Cloud-based platforms, powered by Artificial Intelligence (AI) offer tools to streamline regulatory compliance processes, under current laws and regulations.

The outcome: Accurate, auditable, trusted, streamlined regulatory compliance across all marketing communications throughout the enterprise. Mitigating risk, reducing costs and accelerating time-to-market with increased offer volume are additional, valuable benefits of automated disclosure management.

Clearly, this AI-powered platform addresses a true need. Solving a complex, critical problem faced by all finserv organizations, it offers imperative, impactful capabilities. It provides a competitive advantage to help finserv, wealth management and crypto firms. In doing so, Naehas is transforming the compliance ecosystem.

Which teams across the institution are impacted by regulations? Many within the marketing department, including Marketing Strategy, Marketing Technology (martech) teams, Operations/Execution, as well as Legal, Compliance, IT, and Product/Segment Leaders.

Automated Disclosure Management Use Case Examples:





For institutions to succeed, they must be able to execute their marketing communications creatively, efficiently, and in full compliance with the plethora of regulations that are managed and enforced by a slew of federal, state and other governmental agencies.

Common challenges financial service institutions face:

  • Increased volume of content
  • Complexity and quantity of regulations
  • Lack of consistency and transparency
  • Delayed time-to-market
  • Manual, error-prone, time-consuming processes

The Naehas Intelligent Review Solution allows customers to keep costs low, reduce risk, increase productivity, drive consistency, and improve auditability.

Naehas Blog Regulatory Compliance AI Cloud

This is how the platform becomes a trusted automated assistant. This is how we’ve helped compliance and legal teams ensure 100% accuracy and compliance, without slowing down their ever-increasing, constantly evolving workloads. The volume of offers, marketing collateral and reviews has continued its dramatic increase since the start of the pandemic. Enhancing the customer experience with automated offer management gives leading martech teams a competitive edge. More offers with greater personalization drive growth by enhancing relationships and revenue.

By employing artificial intelligence, augmented with industry-specific compliance rules, Naehas Intelligent Reviews reduces tedious, error-prone manual review processes, and ensures consistency and accuracy across the entire marketing workflow. Talented and valuable marketing, compliance, and legal staff are freed up to advance more interesting, pressing, and valuable work.

Review Process Automation: How it Helps

The advantages realized by companies collaborating with Naehas and its Intelligent Review tool are compelling:

  • REDUCE RISK: by reviewing more content with greater accuracy
  • INCREASE PRODUCTIVITY: by reducing review cycle times and enabling more content and offers with confidence
  • DRIVE CONSISTENCY: by having a comprehensive rules-based assessment that guides your review and approval process
  • IMPROVE AUDITABILITY: by centrally managing all evidence in one source of truth thereby supporting credible challenges

Manual content change management, compliance, and legal review processes that once took days or weeks can now be reduced to hours or minutes. This has important impacts: first, by reducing the institution’s regulatory risk, and, secondly, by increasing its ability to reach more business targets with more offers more rapidly.

“The ROI is immense.” – Rab Govil, Naehas CEO

Readying Resources: AI for ROI

Naehas Intelligent Reviews enables institutions to centrally manage all compliance evidence in a single, searchable file system, and to demonstrate compliance using the built-in compliance reporting functionality. Imagine that: a bulletproof audit history for regulators. Purposely-built for financial services, the innovative platform streamlines the review of personalized offers and content. This breakthrough AI-powered technology improves accuracy, increases productivity, and keeps marketing, legal and compliance teams aligned and on track, all while answering the ever-increasing demands of a highly-regulated, complex industry.