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Resources for savvy compliance leaders

When Social Clout Meets Compliance: Finfluencers in FINRA’s Crosshairs

Discover how FINRA is cracking down on finfluencers—and how Sedric’s AI-powered compliance platform helps firms monitor social media content, avoid regulatory violations, and stay audit-ready.

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Marketing Review: A Compliance Guide for Regulated Industries

A marketing review is the regulated process of vetting every customer-facing message — ads, emails, social posts, scripts, finfluencer content — before it goes live. In financial services, insurance, healthcare, and other regulated industries, it is the difference between a compliant launch and a multi-million-dollar enforcement action. This guide breaks down what a marketing review is, the regulatory frameworks that govern it (FINRA Rule 2210, the SEC Marketing Rule, CFPB UDAAP, NAIC model rules, FCA financial promotions), what a modern review workflow looks like, and how AI is changing the discipline in 2026.

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Sedric Named to RegTech 100 for Enterprise AI Compliance Agents Across Communications and Marketing

Sedric, the AI-powered compliance platform for regulated financial services firms, today announced its inclusion in the 2026 RegTech100. The recognition reflects accelerating adoption of Sedric’s AI agents, which now support compliance, marketing, and customer-facing teams by removing the operational friction traditionally created by manual review processes.

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When Algorithms Meet Acronyms: How AI Can Help Tame UDAAP Risk

In compliance circles, few acronyms inspire as much groaning as UDAAP—Unfair, Deceptive, or Abusive Acts or Practices. It’s the “catch-all” regulatory bucket that makes even seasoned compliance officers pause before approving that new marketing campaign, designing a product feature, or writing a customer communication.

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What Keeps You Up at Night? A Compliance Officer’s Worst Nightmares

What keeps a compliance officer up at night?

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Running Faster, Spending More, and Still Falling Behind: Regulatory Compliance in the Financial Sector

Financial firms face penalties and business disruption, not to mention impacts on stock valuation, for non-compliance. Keeping up with the rapid pace of new regulations is a major challenge. Technology, such as automated, AI-driven compliance solutions, can help firms stay compliant in this fast-changing environment.

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Taking the High Road on Customer Protection

Learn about the significance of customer protection in the financial sector and the need for companies to prioritize ethical practices and transparency in the post-Covid era.

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The Hidden Cost of Compliance Bottlenecks in Marketing (and How to Fix It)

Compliance is necessary for marketing, especially in regulated industries like financial services. However, compliance is often seen as a slow and costly step that holds back marketing teams. Manual compliance processes, siloed workflows, and slow approvals cause bottlenecks. These bottlenecks lead to hidden costs that reduce productivity, increase labor expenses, and delay marketing campaigns.

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What CMOs Need to Know About SEC and FINRA Ad Rules

For CMOs in financial services, understanding SEC and FINRA advertising rules is crucial to creating compliant marketing campaigns. These rules cover everything from disclosures to filing requirements, especially for complex investment vehicles like collateralized mortgage obligations (CMOs) and real estate mortgage investment conduits (REMICs).

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Weaponized Complaints: Why the CFPB’s Inbox Is Overflowing (and How AI Compliance Tools Like Sedric Are Bringing Balance Back)

Fintechs have a tremendous opportunity here. By embracing AI tools that illuminate risk and confusion in real time, they can shift from reactive compliance to preventive consumer protection.

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The Future of Crypto in the EU: Understanding MiCA

How will MiCA affect the crypto industry in the EU and how can companies prepare? Get the details.

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Top Marketing Compliance Software Providers

Top Marketing Compliance Software Providers

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Tech is Driving Success for Savvy Debt Collectors: Here's How

Consumer debt rose to a new high of $15.6 trillion in the last quarter of 2021 from $14.3 trillion in Q1 of 2021. Rising consumer debt means more collections but also more pressure on operations as financial hardship increases the complexity of recovery. CEO Nir Laznik shares how tech and AI can help compliance and ops.

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Sedric Partners with HSBC Innovation Banking to Accelerate Global Growth

Sedric, the AI-powered compliance platform that pioneered compliance LLMs for financial institutions, today announced it has secured a strategic venture loan from HSBC Bank plc, Innovation Banking ("HSBC Innovation Banking ").

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Marketing Compliance: The Complete Guide for Financial Services

Marketing compliance is the discipline of ensuring that all outbound and inbound marketing content adheres to applicable regulations, brand standards, and internal legal requirements.

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Sedric AI Raises $18.5 Million Series A to Empower Financial Institutions with an AI-Based Compliance Platform

The round was led by Foundation Capital with Amex Ventures joining as an investor

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Micro-Learning for Macro-Outcomes: Launching our Personalized Coaching Application

We are excited to announce our new coaching application dedicated to upskilling today’s collection agents. The new app uses data monitoring to deliver agents bite-sized training videos tailored to their individual compliance and performance challenges.

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MiCA Compliance for Crypto Firms in the EU: A Practical Guide to Regulation and Risk Management

This guide offers an overview of MiCA’s evolving regulatory landscape, outlines what crypto companies must do to remain compliant, and highlights how compliance automation platforms like Sedric can reduce risk and enable growth.

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Mastering Compliance for BaaS Companies and Their Affiliates: A Growth-Driven Approach

Banking-as-a-Service (BaaS) is revolutionizing financial services by enabling non-bank companies to offer banking products seamlessly. While this opens unprecedented opportunities, it also introduces intricate compliance requirements that traditional financial institutions are more accustomed to navigating. Understanding and mastering these compliance needs, especially in customer-facing marketing and communications, is critical for sustainable growth.

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How to Launch Compliant Campaigns Faster: A Guide for FinServ CMOs

Chief Marketing Officers (CMOs) in the financial services industry face a complex challenge: launching marketing campaigns that are both effective and compliant. Strict regulations governing financial institutions mean marketing teams must navigate legal requirements carefully. This often leads to delays caused by legal bottlenecks and slow compliance reviews.

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Marketing Compliance for Regulated Financial Services Firms

This in-depth guide covers everything you need to know about marketing compliance, from core principles and real-world examples to tools like Sedric that help automate and streamline compliance workflows. Whether you’re a Chief Risk Officer, Chief Marketing Officer or a compliance lead, this guide is designed to help your organization launch campaigns faster—without risking regulatory penalties.

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How to Build a Marketing Compliance Review Workflow That Doesn’t Kill Growth

For organizations, especially those in highly regulated industries like financial services, building an effective marketing compliance review workflow is essential. Compliance ensures that marketing content meets strict compliance standards and legal requirements while protecting your strong brand and customer trust. However, if your compliance workflow is inefficient, it can create bottlenecks that kill growth by delaying marketing campaigns and wasting time and resources.

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Squaretalk and Sedric Join Forces to Empower Call Centers with Industry-Leading Compliance Management

Sedric announces its partnership with Squaretalk, a major cloud call center software provider. Squaretalk customers and partners now have seamless access to Sedric’s platform. Get the deets.

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How to Align Compliance and Marketing Without Slowing Down Growth

Balancing compliance and marketing is one of the greatest challenges companies face today. Marketing teams want to run fast, creative marketing campaigns to support revenue growth and build brand presence. Meanwhile, compliance teams work to manage compliance risks and ensure all marketing materials meet strict regulatory compliance requirements.

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Has Off-the-Shelf Agent Training Passed its Sell-By Date? These Experts Say So.

Training is probably the most crucial element of an agency’s CMS. To be effective, it should be role-specific, timely and be presented in an easy-to-absorb format. In a recent webinar, three noted industry experts shared best practices for creating and delivering effective, personalized agent training.

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How Fintechs Use AI for Marketing Compliance

Marketing in the financial services industry is undergoing a major disruption, mirroring other functions. Fintechs are investing heavily in marketing and advertising to capture public attention. Our CEO Nir Laznik discussed marketing compliance trends and strategies for fintechs to stay competitive in his latest Finextra blog.

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Financial Services Veteran Brad Brodigan Joins Sedric.ai as Chief Commercial Officer

Brad’s decision to join Sedric comes at a pivotal time for financial institutions. While compliance requirements have become far more complex in recent years, most firms have been slow to commit to innovation and improvements and continue to use solutions that are limited and inefficient.

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From Startup to Standard-Setter: Sedric Recognized on AIFintech100 Following Breakout Year and Series A Milestone

Sedric, the AI-powered compliance platform helping financial institutions reduce marketing and communications compliance risk at scale, has been named to the AIFintech100 2025, a definitive list spotlighting the world’s most innovative AI companies transforming financial services.

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Modern Agent Coaching: The Path to Collections Success

For collection agencies, coaching is an essential factor for success. Video-assisted, personalized solutions can improve agent performance and reduce risk. Here's how.

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Affiliate Compliance Guide for Financial Services

This guide explores the regulatory framework governing affiliate and partner marketing in financial services, the consequences of non-compliance, best practices for mitigating risk, and how automated solutions like Sedric help firms scale responsibly.

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Beyond Fines: 4 Hidden Costs of Compliance Failures

From high churn to poor employee morale, what are the real costs of compliance failures?

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Compliance Across Borders: Best Practices

Compliance in one jurisdiction is complex; across several? It's a multidimensional chess match.

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Compliance: The Tough Love Your Organization Needs to Thrive

Smart organizations value strong compliance processes as a positive force, one that in the long run, offers sales teams the tools and structure they need to keep ahead of the competition. Far from being at odds, compliance empowers sales to be the best it can be.

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Compliance Trends in Financial Services: What to Expect in the Coming Years

In the rapidly evolving landscape of lending, banking and financial services, compliance is undergoing significant transformations. Compliance in financial services in 2024 already looks very different than it did two years ago. Five years from now, it will be a whole different ball game.

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Compliance Officer: Worried AI Will Take Your Job? Quite the Contrary. It’s Going to Make It 10x More Important

Compliance Officer: AI Won't Replace You - It Will Make Your Role 10x More Vital.

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Can a New Generation of Monitoring Tools Address the Tough Challenges That Debt Collectors Face?

In the past decade, AI and data analytics transformed business processes. Today, a new generation of AI-based speech analytics helps debt collectors and call centers comply with regulations and increase collection rates. Here's a look at what these solutions do.

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Automation Transforms Finance Industry Communications Compliance from Burden to Bounty

For financial service companies, reputation is of paramount importance. If public trust in a brand takes a hit, old customers flee and new ones stay clear. How can automation help ensure compliance?

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AI in Compliance for Financial Services: Challenges, Opportunities, and the Evolving Role of the Chief Compliance Officer

Artificial Intelligence (AI) is revolutionizing the financial services industry, particularly in the realm of compliance. As regulatory landscapes become increasingly complex, AI offers both significant opportunities and formidable challenges. This article delves into the transformative impact of AI on compliance functions and explores the evolving role of the Chief Compliance Officer (CCO) in this dynamic environment.

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4 Ways New AI Monitoring Tools Can Solve Trading Platform Compliance Challenges

European trading platforms are facing increased regulatory scrutiny under MiFID II guidelines. Here are four ways AI monitoring tools can assist in navigating this challenge.

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Affiliate Marketing - Now the New Trading Platforms Battleground

This article provides a comprehensive look into the evolving realm of affiliate monitoring and marketing compliance within the trading sector. Get insight into how trading platforms can consistently and seamlessly meet regulatory challenges.

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6 Ways Good Compliance Gives You a Competitive Edge

Compliance isn’t just about following the rules. It drives growth, gives you a competitive advantage and can be the key to your company’s success. Here’s why.

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