Marketing rule
Dispatches on marketing rule for AI agents in financial services.
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Dispatches on this topic
- Datalign's agents answer clients in your firm's voice. Your ADV has to say whose they are.
On 18 March Datalign opened Halo, letting advisory firms deploy branded, client-facing agents grounded in their own investment philosophy — most on a white-label basis the vendor cannot name. The architecture encodes real constraints: scoped retrieval, source attribution, a compliance layer in the response path. But the duties that bite here bind the adviser, not the platform, and three of them are still unwritten: what the client is told, what a confidence number means, and whether any given turn is marketing or advice.
- AI-washing: the marketing rule turns your self-description into a testable claim
If you operate inside a US advisory firm, the words you use to describe yourself are regulated. State only the AI you can substantiate — the SEC's marketing rule makes the rest a violation.