The Problem

Your advisors use AI every day. Nothing is watching.

mail.google.com — compose
ToMargaret Chen <m.chen@gmail.com>
SubjectYour retirement plan — my recommendation

Hi Margaret,

Based on your timeline, I recommend moving the full balance of your 401(k) into the Meridian fixed-index annuity.

I can guarantee you'll earn at least 12% annually, and because of how the product is structured, this strategy is essentially risk-free. It has also outperformed everything your previous advisor had you in.

4 SEC violations · nothing stopped this email
The Risk

The cost of doing nothing

Regulators are watching. Fines are accelerating. AI is making it harder than ever to stay compliant.

$4.7B

SEC fines since 2020

$89M

FINRA off-channel penalties

87%

Firms now using AI tools

The Solution

Meet BastionAI

app.bastionai.com/dashboard
Firm DashboardAurora Securities● All channels covered
Advisors covered
112
100% of licensed staff
Communications checked
4,318
+12% vs July
Interventions before send
127
All resolved pre-delivery
Open escalations
6
Awaiting your review
Findings · 30-day trend
SEC Marketing Rule
IA-5653 · PERFORMANCE CLAIMS
48
Reg BI rollover advice
REG BI · ROLLOVER SUITABILITY
34
2.1
Firm risk index
LOW
RECENT INTERVENTIONS
Advisor A-041
Guarantee claim rewritten before send
SEC MARKETING RULE · IA-5653
Advisor A-017
Rollover advice softened to partial allocation
REG BI · ROLLOVER
Advisor A-063
Account number redacted in outbound message
REG S-P · CLIENT PII
How It Works

The Membrane

Advisor

Sends message

→

Membrane

Scans <1s

→

Policy Engine

SEC · FINRA

→

Decision

Pass · Fix · Block

app.bastionai.com/drafts
Drafts /Rollover follow-up — Margaret Chen● Sentry active3 blockingSend via Gmail
ToMargaret Chen <m.chen@gmail.com>
SubjectYour retirement plan — my recommendation
Sending as dreyes@meridianwealth.com · Connected via Google Workspace

Hi Margaret,

It was great speaking with you yesterday about your retirement goals. Based on your timeline, I recommend moving the full balance of your 401(k) into the Meridian fixed-index annuity.

I can guarantee you'll earn at least 12% annually, and because of how the product is structured, this strategy is essentially risk-free.

It has also outperformed everything your previous advisor had you in.

—
Compliance review
Checking draft…
Scanning against rule pack v2026.07…
Full-balance rollover adviceADVISORY
REG BI · ROLLOVER RECOMMENDATION
Suggest a partial allocation pending a documented rollover suitability review.
Apply fix
Guaranteed performance claimBLOCK
SEC MARKETING RULE · IA-5653
Use historical, non-promissory language with a past-performance disclaimer.
Apply fix
"Risk-free" characterizationBLOCK
ADVISERS ACT §206 · ANTI-FRAUD
No investment may be described as risk-free; acknowledge risk explicitly.
Apply fix
Unsubstantiated comparisonADVISORY
FINRA 2210(d) · COMPARISONS
Comparisons must be fair, balanced, and substantiated.
Apply fix
Capabilities

Doesn't just flag. Prevents.

Auto-Rewrite

Language rewritten instantly

Real-Time Block

Stopped before delivery

Override Protection

Can't bypass the firewall

Audit Trail

Tamper-proof compliance log

app.bastionai.com/ledger
Audit LedgerImmutable · hash-chained4,318 RECORDS · CHAIN VERIFIEDExport exam package
TIMESTAMPADVISORCHANNELRISKFINDINGSACTIONINTEGRITY
Aug 19 · 16:00:00Priya NatarajanEmail0.60SENT CLEAN3a1f_11b ✓
Aug 19 · 15:17:23Tom OkaforEmail4.32FIXEDd856_6d8 ✓
Aug 19 · 12:08:32Sofia AlvarezEmail8.01BLOCKEDb2fd_810 ✓
Aug 18 · 16:59:41Tom OkaforSocial8.14ESCALATED8da4_948 ✓
Aug 18 · 14:33:27Marcus WebbEmail4.32FIXEDca13_4c3 ✓
Why BastionAI

Before vs. After

Without BastionAI

  • Reviews happen days or weeks later
  • Violations discovered after client exposure
  • Manual review of thousands of messages
  • Advisors can send anything unchecked

With BastionAI

  • Every message scanned in under 1 second
  • Violations blocked before they reach clients
  • AI-powered, fully automated screening
  • Override attempts denied and escalated

Every channel. Every message. Every model. Protected.

Join the Waitlist →
This presentation contains forward-looking statements regarding BastionAI's product capabilities, features, and anticipated benefits. Actual results may differ materially. Product features, pricing, availability, and specifications are subject to change without notice. Statistics cited are from publicly available industry sources and are provided for informational purposes only. BastionAI does not guarantee regulatory compliance and is not a substitute for qualified legal or compliance counsel. © 2026 BastionAI. All rights reserved.
BastionAI
The AI Compliance Firewall — Product Demo
Click to play

The AI Compliance Firewall

Every channel. Every message. Every model. Protected.

▶ Watch Again