About Precept

Precept builds AI-powered compliance tools for registered investment advisers — starting with the content that matters most: your marketing.

Every piece of content a financial services firm publishes — website copy, blog posts, email campaigns, social media — is marketing material under the SEC's Marketing Rule. It must comply with SEC Rule 206(4)-1, FINRA Rule 2210, and a web of related regulations. Most firms discover compliance gaps the hard way: during an SEC exam, or worse, from a client complaint.

We built Precept to change that. Our Chrome extension puts compliance review right where the work happens — in your browser. Navigate to any page, click review, and get AI-powered findings in seconds. Each finding includes the exact flagged text, the specific rule citation, a plain-English explanation, and a suggested fix.

What we check

Our V1 extension runs six compliance checks covering the highest-frequency violation types: forward-looking statements, net vs. gross performance claims, required disclaimers, risk-benefit balance, unsubstantiated superlatives, and testimonial disclosures. Each check combines deterministic pattern matching with AI verification to minimise false positives.

Where we're going

The Chrome extension is just the start. We're building a full compliance platform — including automated website audits that crawl your entire site with 67 checks. These cover structural compliance site-wide — cybersecurity, privacy, accessibility, registration disclosures, Form CRS — plus deep marketing content analysis on the pages that carry the most risk: blog posts, landing pages, testimonials, and performance advertising. Add ongoing monitoring that alerts you when new compliance gaps appear, and you have the complete picture. Join the waitlist on our homepage to be first in line.

Our approach

We believe compliance tools should be practical, not theatrical. Precept gives CCOs actionable findings — not 200-page reports they'll never read. Every check is auditable, every finding is mapped to a specific regulation, and every result helps you fix the actual problem.

Get in touch

Interested in Precept for your firm? Email us or install the Chrome extension to try it yourself.