The compliance problem with most chatbots
Advisory firms have to retain client communications under SEC Rule 17a-4 and FINRA recordkeeping rules. They also can't use marketing or solicitation language that implies promised returns. And they certainly can't ship client portfolios to OpenAI's API.
MyTechGenie was built with those constraints from the start. Conversations are retained in WORM-compatible storage. The AI is constrained from promissory statements about returns. Nothing leaves your firm's controlled environment.
What it does for advisory firms
Client meeting scheduling
Two-way calendar sync with your advisors. Clients book or reschedule without phone tag.
Document requests & intake
Securely collects KYC documents, account-opening forms, and statement requests.
FAQ deflection
Trading hours, fee schedules, account transfer status, statement availability — answered from your knowledge base.
Advisor handoff with context
Anything that touches advice, planning, or specific holdings goes to a human advisor with the full thread.
Built for the compliance officer
- WORM-compatible message retention under SEC Rule 17a-4
- Pre-approval workflow for any AI-generated client communication template
- Promissory language guardrails — the AI cannot promise returns or timing
- Full audit log of every disclosure, retained 7+ years
- Tenant isolation between advisor books or branches
- Optional human-in-the-loop review for first-time clients
Frequently asked questions
How does the platform handle SEC and FINRA recordkeeping?
All client communications are retained in WORM-compatible storage with cryptographic integrity verification. Retention periods are configurable (default 7 years).
Can the chatbot give investment advice?
No. The platform has built-in guardrails preventing the AI from making investment recommendations, projections, or promises about returns. Anything crossing into advice routes to a licensed advisor.
Does this integrate with our CRM and portfolio management system?
Yes. We integrate with Salesforce Financial Services Cloud, Redtail, Wealthbox, Orion, Tamarac, and Black Diamond, among others.
What about marketing rule compliance under the SEC's new rule?
The platform's content gates align with the SEC's Marketing Rule (Rule 206(4)-1). Any AI-generated content that could be construed as marketing is flagged for compliance pre-approval before delivery.
Suitable for broker-dealers as well as RIAs?
Yes. We support both RIA and broker-dealer compliance regimes, including FINRA Rule 3110 supervisory requirements and Rule 2210 communications standards.
See it on your real data.
A 20-minute demo on your real workflows — including the private, in-your-cloud deployment.
Book a Demo