Does MiOpsAI perform compliance review of advisor communications?

No. MiOpsAI does not perform compliance review, does not archive communications for regulatory purposes as a standalone system, and is not a substitute for the compliance supervision your CCO and your compliance archive platform (Smarsh, Global Relay, MyRepChat, or your broker-dealer's compliance stack) perform today. Compliance review is and remains the responsibility of your firm's compliance officer.

What MiOpsAI does is generate operational communications that then flow through your existing compliance archive and review process. When LizziAI drafts a client communication and the advisor approves and sends, the outbound message goes through the same compliance-archiving path your firm uses today (email server BCC to Smarsh, MyRepChat capture for texts, whatever architecture your CCO has stood up). MiOpsAI does not attempt to replace that pipe.

For content flagged as needing supervisor pre-approval under your firm's compliance policy (advertising, testimonials, performance content, certain client communications), MiOpsAI's workflow surfaces the draft to the designated supervisor before it can be sent. That is a workflow function, not a compliance judgment. The supervisor makes the compliance call.

LizziAI's drafting is trained to avoid the patterns that create compliance headaches: no performance claims, no testimonial-style language, no specific investment recommendations in unsupervised channels, no misleading superlatives. If the advisor asks for content that would cross those lines, LizziAI drafts a version that avoids the issue and flags the concern for the advisor to consider. But that is a first-pass safety net, not a substitute for CCO review.

For firms subject to specific SEC or FINRA supervision requirements (marketing rule compliance, Reg BI documentation, advisory contract logistics), MiOpsAI slots in as an operational productivity vendor in your compliance program, not as a compliance-supervising system. See the security and compliance FAQ set.