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

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Regulatory Reporting

Workbench

In today's environment, keeping abreast of change is more difficult than ever. But when it comes to regulatory reporting, insurers have no choice.

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