Financial services
The compliance firewall for financial services AI.
ZeroDrift validates, rewrites, and blocks AI-generated communication against regulations, firm policies, and restricted data rules before it reaches clients, employees, or regulators.
// COMMAND
Financial Services Enforcement
Source: Advisor AI Copilot in Outlook
Surface: Client Email
User: High-net-worth client
Status: Enforced before send
AI-Drafted Email
“Based on your portfolio, I strongly recommend moving 25% into the Apex Growth Fund. It is a safe way to generate consistent returns and has beaten the market every year for the last five years.“
}
Anchor Scan
Verdict:
REWRITE
Rule Cited:
FINRA Rule 2210
Policy Match:
Promissory performance language
Risk:
High
Final Action
Compliant draft delivered to advisor
Compliant Rewrite
// Rewritten
The Apex Growth Fund may be appropriate for certain investors depending on their objectives, risk tolerance, and time horizon. Past performance does not guarantee future results. We can review whether this fund fits your current portfolio and goals.
}
Why It Matters
AI is changing client communication faster than compliance teams can manually review it.
Financial firms are deploying AI across advisor workflows, client portals, marketing, research, service, and operations. Every generated message creates a new review, supervision, and evidence burden.
Zerodrift Developer Platform
//A
AI Communication Risk
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Performance claims
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Personalized recommendations
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Missing disclosures
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Unapproved product language
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Restricted data exposure
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Unlogged AI output
Zerodrift Developer Platform
//B
Financial Services Exposure
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Marketing and advertising review
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Suitability and best interest concerns
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Client communication risk
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Firm policy violations
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Privacy and confidentiality risk
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Supervision and audit gaps
LLM Gateway Example
Put a compliance firewall in front of AI outputs.
Route generated responses through ZeroDrift before they reach customers, employees, or downstream systems.
Regulatory Areas
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SEC
//02
FINRA
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FCA
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MiFID II
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CFTC
//06
NFA
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MSRB
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Firm policies
//09
Marketing rules
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Internal supervision standards
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Restricted data rules
//12
Approved communication templates
For broker-dealers, RIAs, asset managers, hedge funds, banks, wealth platforms, fintechs, and AI companies serving regulated financial institutions.
•Use Cases
One platform for every AI communication surface in financial services.
//A
Wealth Chatbots
Validate client-facing chatbot responses before delivery.
//B
Advisor Copilots
Catch risky advisor drafts before they reach clients.
//C
Marketing Content
Enforce approved language across campaigns, emails, and digital content.
//D
Product Communication
Check fund, strategy, and product language before external use.
//E
Internal AI Tools
Govern internal copilots, summaries, and employee agents.
//F
Research and Disclosures
Validate research notes and ensure required disclosures before distribution.
Deploy AI across financial services without losing control of communication risk.
See how ZeroDrift enforces compliance before AI-generated communication reaches clients, employees, or regulators.