An AI skill from 16Wells
NFA marketing compliance review,
calibrated to your firm.
Generic compliance tools give you the average answer to a non-average question. This one learns from your written supervisory procedures, your approval history, and your reviewer's instructions — so the first pass actually reflects how your firm reviews.
Not legal advice. Not a CCO replacement. A faster first pass.
01 — The problem
Most compliance tools treat every firm the same. Yours doesn't.
Two IBs reading the same NFA rule will write two different supervisory procedures. Two CCOs reviewing the same email will flag two different things. Two firms with different risk tolerances, different products, and different audiences will land in different places on what counts as solicitation, what counts as performance language, and what needs a disclaimer.
A generic AI compliance tool gives you the average answer to a non-average question. The result? Your CCO redoes the work anyway. That's not faster. That's a tax.
The thing that makes compliance review valuable is the same thing that makes it hard to automate: it's specific to your firm. So that's where this tool starts.
02 — Calibration
Three ways to make it yours.
Every firm interprets NFA marketing rules a little differently. The tool learns yours, three layers deep.
Calibration layer 01
Upload your WSPs. The tool reads them and uses your firm's interpretation of the rules as the baseline for every review.
Same standards across every AP, every channel, every campaign. The tool isn't making up rules — it's following yours.
Inputs: PDF, DOCX, Markdown
Calibration layer 02
Upload examples of pieces you've approved — and ones you've sent back. The tool learns the pattern.
What your CCO accepts in tone, claims, disclaimers, and structure, and what gets a red pen. Your firm's actual standard, not the textbook one.
Inputs: emails, ad copy, scripts, posts
Calibration layer 03
Type in what matters most this quarter. "Tightening on hypothetical performance language." "Influencer posts need #ad in the first 50 characters."
The tool weights it — and you can update the instructions whenever the priorities shift.
Inputs: free text, updated anytime
03 — Workflow
A faster first pass. Not a replacement.
Your CCO still has the last word. The tool just does the boring 80% before they get the draft.
01
Upload draft marketing copy.
Email, ad, landing page, social post, webinar script, podcast outline. Anything you'd otherwise hand to your CCO.
02
The tool runs the review.
Against your WSPs, your approval history, and your free-text priorities — in that order of precedence.
03
It produces a structured output.
Pass / flag / escalate. Each finding includes the reasoning and a citation back to your WSP, your prior approval, or your free-text instruction.
04
Your CCO reviews the flags.
Same final review they were doing anyway — just with the noise filtered out. Faster turnaround, same standard of care, same audit trail.
04 — Boundaries
What this is — and isn't.
Compliance officers earn the trust of their firms by being clear about what they will and won't do. So will this tool.
A first-pass review tool, calibrated to your firm.
- +Calibrated against your WSPs, your approvals, and your reviewer's standing instructions.
- +Auditable. Every flag has reasoning and a citation back to the source it learned from.
- +Available outside the queue — review work doesn't stop because your CCO is on a flight.
- +Updated as your firm updates. New WSP version? Drop it in. Priorities shift? Type the new ones.
- +A workflow improvement, not a workflow replacement.
Compliance is your firm's responsibility. The tool helps. It does not own.
- −Not legal advice. 16Wells is a marketing firm. Your counsel and CCO own legal calls.
- −Not a CCO replacement. The final review still belongs to a person at your firm.
- −Not a substitute for written supervisory procedures. It requires them to function — that's the point.
- −Not a black box. You see the reasoning behind every flag, and you can override anything.
- −Not a guarantee against NFA findings. No tool is. Anyone who tells you otherwise is selling something.
05 — Built for
Firms that take compliance seriously and want their CCO's time back.
06 — Next step
Ready to see how it calibrates to your firm?
A 20-minute walkthrough. We'll talk through your WSPs, run a sample review on a piece of marketing copy you've already approved, and you'll see what the calibrated output looks like before you commit to anything.
Or email [email protected]
Disclaimer. The compliance review tool described on this page is built and operated by 16Wells. It is not legal advice. It is not affiliated with, endorsed by, or connected to the National Futures Association or the Commodity Futures Trading Commission. It does not replace your firm's compliance officer or counsel. The output is a calibrated first-pass review — your firm is solely responsible for final compliance determinations.