POLICY
//A
Pre-Built Rulepacks
Financial Services
Insurance
Healthcare
POLICY
//B
Your Firm Policies
AI Policy 4.2
Marketing Claims Policy
Client Communication Standard
Advisor Disclosure Requirements
POLICY
//C
Restricted Lists
Restricted securities
Restricted clients
Restricted jurisdictions
Restricted data classes
POLICY
//D
Enforcement
Pass
Rewrite
Block
Escalate
Pre-Built Rulepacks
Activate your industry's regulations in one click.
ZeroDrift maintains the rulepacks. You activate them. Coverage stays current as regulations change.
Financial Services
SEC Marketing Rule, FINRA Rule 2210, FCA financial promotions, MiFID II, CFTC, NFA, MSRB, and 30+ regimes.
Insurance
NAIC model rules, state communication and advertising regulations, agent and policyholder disclosure rules.
Healthcare
HIPAA, HITECH, FDA promotional standards, and CMS communication requirements.
Each rulepack is built and maintained by ZeroDrift's regulatory team and mapped directly to enforcement actions. When a regulation changes, the rulepack updates automatically across every connected surface.
Your Policies, On Top
Layer your firm's rules over the regulatory baseline.
Connect your existing policy library or build custom rules. Everything you add layers on top of the activated rulepacks, so firm-specific controls and regulatory coverage enforce together.
//A
Firm Policies
Internal standards for communication, disclosures, and approvals.
//B
AI Policies
Approved use cases, model behavior, and agent rules.
//C
Restricted Lists
Securities, data, clients, regions, and products.
//D
Disclosures
Required language, disclaimers, and risk statements.
//E
Approval Rules
What can pass, what needs review, and what blocks.
From Policy to Enforcement
From regulations and policies to real-time enforcement.
1
Activate
Rulepack
Industry regulations mapped to controls
2
Add firm
Policies
Disclosures, restricted lists, approvals, custom rules.
3
Connect
Surfaces
Email, chat, documents, voice, video, agents, and APIs.
4
Enforce Communications
Every message evaluated in real time.
Example Controls
Every rule maps to a verdict.
Every rule in Policy maps to an enforcement action: pass, rewrite, block, or escalate. Here is what that looks like.
Rule
→
FINRA Rule 2210
→
SEC Marketing Rule
→
Firm AI Policy 4.2
→
Restricted Data Class A
→
Marketing Claims Policy
→
Advisor Communication Policy
Risk
→
Promissory claims
→
Unbalanced performance
→
Unapproved AI output
→
Confidential data
→
Missing disclosure
→
Suitability language
Enforcement
→
Rewrite or block
→
Rewrite
→
Escalate
→
Block
→
Rewrite
→
Rewrite or escalate