Luthor

Unblock your marketing team. Automate compliance. Scale faster.

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Description

Luthor assists Registered Investment Advisors (RIAs) and broker-dealers in navigating the complexities of marketing compliance. These financial organizations often struggle with slow approval cycles for their marketing materials due to stringent SEC and FINRA regulations, which can impede their ability to scale content creation effectively. Luthor directly addresses these challenges by providing an automated solution to streamline compliance reviews.

The platform leverages artificial intelligence to continuously monitor marketing content across diverse channels, such as websites, emails, social media, and paid advertisements. It proactively identifies potential compliance issues in real time, offers actionable recommendations for corrections, and maintains thorough audit trails. This enables marketing teams to publish their content significantly faster, maintain comprehensive compliance, reduce the risk of penalties, and improve overall operational efficiency.

Key Features

Real-time Compliance Monitoring: Continuously scans all marketing content (websites, emails, social media, paid ads) for adherence to SEC/FINRA rules.
Automated Auditing & Archiving: Tracks content revisions, compiles marketing materials, and maintains comprehensive compliance archives for regulatory requests.
Multi-Channel Content Coverage: Monitors compliance across websites, emails, social media platforms, and paid advertising campaigns.
Instant Risk Alerts & Fix Recommendations: Immediately flags non-compliant content and provides actionable recommendations for remediation.
Comprehensive Oversight Dashboards: Offers live dashboards and one-click reports for a complete overview of compliance status and activities.

Use Cases

Automating compliance reviews for marketing materials in financial services.
Accelerating marketing content approval cycles for RIAs and broker-dealers.
Ensuring adherence to SEC and FINRA regulations for all marketing communications.
Reducing the risk of fines associated with non-compliant marketing content.
Streamlining the creation and management of audit-ready marketing records.
Improving collaboration between marketing and compliance teams in regulated industries.

Frequently Asked Questions

What kind of businesses benefit from Luthor?

Luthor is an AI-driven compliance platform designed for crowdfunding platforms and regulated businesses. It helps marketing and compliance teams ensure that all public-facing content—websites, emails, social media, and ads—meets regulatory requirements.

Does Luthor replace human compliance teams?

No, Luthor does not replace your compliance teams. It acts as a force multiplier, automating repetitive tasks and providing real-time compliance insights so that your professionals can focus on higher-value initiatives. By streamlining and standardizing the review process, Luthor helps you maintain compliance more efficiently and effectively.

What regulations does Luthor cover?

Luthor is built to handle marketing and advertising regulations that matter most to RIAs, fintechs, and broker-dealers—primarily SEC, FINRA, and relevant state securities guidelines. We stay current with updates and new guidance in these areas, so your marketing and compliance teams can trust the platform to align with the latest requirements.

How does Luthor help with compliance monitoring?

Luthor continuously scans your marketing content—across websites, emails, social media, and more—to catch potential regulatory issues before they become problems. Our AI engine updates in real time based on SEC and FINRA guidelines, flagging non-compliant phrases or claims and providing recommended fixes. All changes and decisions are logged, giving you a clear audit trail and reducing manual review overhead.

How does Luthor work?

Luthor uses AI-driven workflows to proactively identify regulatory risks, streamlining collaboration between compliance and marketing teams. Our proprietary AI—trained on SEC, FINRA, and other relevant regulations—lets you guide it with high-level instructions while ensuring granular validation, resulting in faster, more accurate approvals.