Compliance-First Marketing Automation for Financial Services
Stop choosing between speed and compliance. Spotzee bakes regulatory controls into your marketing workflows. Pre-approval, risk warnings, archiving, consent management: they all run automatically. Every campaign goes out compliant from day one.
Built specifically for FCA, FINRA, and SEC-regulated firms. The FCA forced 19,766 financial promotions to be amended or withdrawn in 2024 alone (a 97.5% increase year-on-year). Manual compliance review simply can't keep up.
Built for your needs
Features that drive results
Pre-Approval Workflows
Content goes through role-based approval chains before anything gets published. Configure approvals by product type, audience, and jurisdiction to meet FCA COBS 4 and FINRA Rule 2210 requirements.
Risk Warning Management
Risk warnings are auto-inserted based on product type, channel, and jurisdiction. Prominence validation confirms warnings hit minimum size and visibility standards for every regulator you answer to.
Compliance Scanning
Pre-send scanning catches trigger terms, missing disclosures, and misleading claims before they reach your audience. Rule sets are configurable per jurisdiction, so compliance scales with your campaigns.
Communication Archiving
Every sent communication is stored in immutable WORM format with full audit trails. Searchable, exportable, and retained for 3 to 6 years to meet SEC Rule 17a-4 and FCA record-keeping obligations.
Cooling-Off Enforcement
Automatic holds on follow-up marketing during FCA-mandated cooling-off periods. Critical for first-time crypto investors in the UK, where a 24-hour cooling-off applies before completing a Direct Offer Financial Promotion.
Jurisdiction Filtering
Block marketing for products in regions where your firm isn't licensed. Geographic targeting restrictions handle state-by-state, country-level, and member-state compliance on their own.
Consent Management
Track consent per contact, per channel, per purpose with full audit trails. GDPR, PECR, TCPA, and PDPA support is built in, with automatic opt-out sync across email, SMS, and push.
Fair LendingComing Soon
Analyse your segmentation criteria for potential disparate impact on protected classes. ECOA and UDAAP compliance checks will flag high-risk targeting configurations before any campaign launches.
Multi-Jurisdiction Support
Pre-configured rule sets for FCA, FINRA, and SEC frameworks are ready to go. MiCA and ASIC jurisdictions are arriving soon, so your compliance posture grows as you expand into new markets.
How teams use Spotzee
Common use cases
Regulated Email & SMS Campaigns
Launch multi-channel campaigns with pre-approved content, embedded risk warnings, and automatic archiving. Every message is compliant, tracked, and audit-ready the moment it's sent.
Cross-Border Financial Promotions
Market financial products across jurisdictions without mapping compliance rules by hand. Spotzee applies the correct regulatory framework for each recipient's location automatically.
Crypto & Web3 Marketing Compliance
The only marketing automation platform built for FCA crypto financial promotion rules, MiCA requirements, and the deliverability challenges that come with digital asset communications.
FCA Consumer Duty Compliance
Show that your marketing delivers good outcomes for customers. Audit trails, approval workflows, and prominence checks give you the evidence you need for Consumer Duty compliance at every stage.
Common questions
Frequently asked questions
All plans include