Course Compliance

How the Courses Are Audited

Each course undergoes a full regulatory compliance review conducted by an AI Regulatory Compliance Auditor, purpose-built to assess educational financial content against global regulatory standards.

The audit process involves a systematic review of all materials associated with the course, collectively referred to as Course Content, including:

Course scripts and lectures
Slide decks and presentations
Marketing pages and landing pages
Promotional materials
Video content and supporting assets

The review focuses on substance, language, positioning, and regulatory perimeter integrity, rather than superficial or repetitive disclaimer checks.

Role of AI in the Audit Process

The compliance audits are conducted using a specialised AI system trained on:

Global financial regulatory frameworks
Financial promotions and consumer-protection standards
Investor communication rules
Education-versus-advice regulatory boundaries

AI is used to ensure:

Consistency across all course audits
Neutral, objective analysis free from commercial bias
Scalability, ensuring every course is reviewed to the same standard
Pattern detection to identify language or structures that could create regulatory risk

AI does not replace legal counsel. It functions as a first-line compliance governance layer, designed to identify potential regulatory issues early and enforce disciplined educational positioning.

Regulatory Frameworks Considered

Each audit explicitly considers the principles and guidance issued by major global regulators, including:

Financial Conduct Authority (FCA – UK)
European Securities and Markets Authority (ESMA) and MiFID II
Cyprus Securities and Exchange Commission (CySEC)
Australian Securities and Investments Commission (ASIC)
U.S. Securities and Exchange Commission (SEC) and FINRA
Monetary Authority of Singapore (MAS)
Dubai Financial Services Authority (DFSA)
Swiss Financial Market Supervisory Authority (FINMA)
International consumer-protection and misrepresentation standards

This multi-jurisdictional approach reflects the global distribution of digital education.

Core Compliance Safeguard Applied to All Courses

All courses include a mandatory disclaimer video at the beginning of the programme, which clearly states that:

The content is provided for educational purposes only
No financial or investment advice is given
No personalised recommendations are made
Trading and investing involve risk
Learners are responsible for their own decisions

This disclaimer forms part of the programme-level compliance architecture and is treated as an embedded safeguard during every audit.

Audits do not flag the absence of repeated disclaimers within individual lessons, provided the educational and non-advisory nature of the content is maintained throughout.

What the Audits Do Not Do

For clarity, the compliance audits:

Do not certify profitability or performance outcomes
Do not provide regulatory authorisation
Do not constitute legal advice
Do not replace jurisdiction-specific legal review
Do not assess trading strategies for effectiveness

Their role is governance and risk assessment, not endorsement.

Structure of the Audit Reports

Each Course Compliance Audit Report follows a uniform, regulator-style structure, including:

Executive Summary with overall compliance risk rating
Detailed findings grounded in regulatory standards (where applicable)
Positive compliance observations
Actionable recommendations (if required)
Jurisdictional considerations
A mandatory closing disclaimer

This ensures all reports are consistent, defensible, and suitable for professional due-diligence review.