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.