Pre-publication review isn't new. How it works is. Join PerformLine's Katie Daley and Kuno Tucker — whose CCO experience spans national securities regulators, a leading crypto exchange, a major wealth management firm, and one of Canada's largest financial institutions — for a candid, no-pitch conversation on the shift from rules-based review to contextual compliance monitoring, and what it means for the teams already doing this work.
Reviewing marketing before it publishes is standard practice. What's changing is the review itself, and instead of pitching you on it, we wanted to talk it through with someone who's sat in the CCO seat.
Traditional pre-publication review runs on fixed rules and pattern matching. It's reliable for what you can spell out in advance, and blind to almost everything else: the near-misses, the paraphrases, the meaning that shifts with context, and the growing share of risk that lives in imagery and disclosures rather than copy. As marketing volume and regulatory scrutiny climb, those gaps get expensive.
This is a real conversation between a vendor and a trusted former CCO—not a sales session.
We'll dig into contextual compliance monitoring together—evaluating what an asset actually communicates, in context, against your institution's own standards, rather than scanning for exact terms. Expect a candid discussion of what that shift changes in practice, why review is moving down to where content is created (and why CMOs are now part of the decision), where teams get tripped up in the transition, and what separates AI you can trust in a regulated environment from AI you have to double-check.
Why the real shift isn't reviewing earlier, it's reviewing differently: contextual meaning vs. a fixed rule set.
Where rules and pattern-matching fall short: near-misses, paraphrasing, and the risk hiding in imagery and disclosures, with real, named examples.
What it actually means to evaluate meaning and intent across copy and imagery alike.
More accurate findings, fewer false positives, and the cost of alert fatigue at enterprise scale.
What earns sign-off: institutional knowledge, explainability, and auditability you can defend to a regulator.
For teams already running a review program: how to make the move without rip-and-replace.
Katie is a strategic partnerships and growth leader focused on connecting fintech, financial services, and technology ecosystems. She works with cross-functional teams to build high-impact relationships, drive revenue through collaboration, and accelerate go-to-market execution in regulated markets.
Mr. Kuno Tucker, MA, LLM, ICD.D has worked in progressive roles in capital markets, ranging from head trader to regulatory examiner to Chief Compliance Officer mandates ranging from the buyside and sell side, regulatory and marketplace, retail and institutional, and has covered the gamut of products from derivatives to cryptocurrency. He has weathered and learned from the crises of the tech bubble and the great financial crisis, among others. Along with his BA, MA and Masters in Securities Law, he completed the ICD course in corporate governance, serves on boards, and teaches corporate governance part time at York University. Throughout his career he has been an advocate of the modernization of capital markets; from the early stages he has embraced the technological evolution from the advent of the internet in financial services to the recent evolution of AI enhanced tools. He is very excited to see how AI in the right hands and guardrails can help firms make their business function in a compliant, efficient and effective manner.
Ashley is a revenue and go-to-market strategy leader specializing in compliance-driven growth for financial institutions. She works with enterprise teams to identify systemic marketing risk, align cross-functional oversight, and scale compliant growth in complex regulatory environments.
Wednesday, August 12 | 2PM ET | 45 min
Can't attend live? Register anyway and we'll make sure to send you the recording once it's available.