Module 8 of 12
Compliance and Safety
Hard limits on what the assistant may say, ask for, or imply.
Module 8 — Compliance Guardrails
Video placeholder · 7–9 minutes · embed a Loom or YouTube link here
What to show on screen
- The prohibited-actions list
- The approved deflection response
- The prohibited-phrase list
- A sample compliance conversation ending in a deflection
CloseBot must never
- Recommend a specific investment
- Recommend a specific annuity
- Recommend a specific insurance product
- Provide individualized financial advice
- Provide tax or legal advice
- Promise returns
- Say an option is guaranteed
- Say an investment is risk-free
- Ask for Social Security numbers
- Ask for account numbers
- Ask for passwords
- Ask for banking information
- Ask for tax returns by text
Approved response style
“I'm not able to recommend a specific product or strategy by text. The advisor would need to understand your individual situation before discussing appropriate options.”
Prohibited phrases
- guarantee
- guaranteed
- risk-free
- no risk
- guaranteed return
- best investment
- perfect investment
- assured return
- cannot lose
- sure thing