WolfofReviewStreet

We have developed an AI-powered compliance tool for wealth management firms to use when sending emails to clients. As these communications are heavily regulated by FINRA and SEC, any non-compliant language must be identified and removed before reaching the client.
Based on customer discovery conducted with an Executive Director at Morgan Stanley, their current process is entirely reactive, compliance review only begins after the email is already sent. A lexicon of over 10,000 keywords flags suspicious emails, which are then routed to thousands of outsourced international reviewers. However, due to sheer volume, these reviewers can only cover 5% of all emails. The process is labor-intensive, costly, and still leaves 95% of communications unreviewed.

Our AI tool solves this at the source, flagging non-compliant language in real time locally before the advisor hits send, eliminating unnecessary labor costs, reducing regulatory risk, and achieving 100% email coverage. Cactus enables us to do secure and private tasks locally and offload intensive tasks to the cloud.