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Advertising Review Solutions
In today's challenging and highly regulated economic environment, traditional and alternative asset managers, broker-dealers and financial advisors face a long list of requirements governing the content, placement and disclosure information surrounding the advertising of securities- and investment-related for print and digital media.
We offer a robust, web-enabled advertising review solution that makes regulatory compliance review for advertising fast and easy — from first review to final sign off.
Advantages of our advertising review platform:
- SEC Rule 17a-4 electronic archiving capabilities eliminate the need for paper files
- Hosted internet solution
- Ability to upload any file format
- Customized workflow and process
- Create custom reports
- Audit export capabilities
How these advantages benefit you:
- Streamlines and simplifies the regulatory compliance process
- Provides a secure, online solution to review, annotate, report and archive advertising and marketing pieces
- Enables more efficient collaboration between marketing and compliance, increasing efficiency and improving productivity
- Minimizes the risk of missed deadlines
- Leverages advertising opportunities in the growing number of digital media outlets
Invested in You
Turn to BNY Mellon for unparalleled dedication, experience and support throughout the investment process.