See what happens when marketing compliance fails — and how Intercepta AI helps prevent it.
Major Retail Brokerage: $26M FINRA Fine
How inadequate social media compliance cost one company millions in regulatory fines.
The firm failed to reasonably supervise and retain social media communications promoting the firm that were posted by paid social media influencers. Some of these communications included statements that were promissory or not fair and balanced, and thus misleading to investors. (Source: FINRA.org)
Failed to supervise influencer content
Misleading and non-compliant statements
Inadequate record retention
How Intercepta AI helps prevent this: compliance scanning of all marketing content before publication, including social media posts and influencer collaborations. Automatic flagging of promissory language and misleading claims.