Regulatory Compliance

We provide comprehensive review of all marketing materials based on current FINRA, SEC and other financial industry regulations. We will review and provide comments on all marketing materials and can recommend appropriate outsourced material tracking if necessary. We examine your operations and policies as well as your investor communications related to marketing to better understand where you may be vulnerable to exam reviews. We work to mitigate any apparent deficiencies to comply with ever expanding regulatory oversight.

Our success in this area is due to our advertising review compliance team’s industry and regulatory knowledge, and our ability to work closely with our clients as well as regulatory bodies. Areas of review include:

Areas of Review Include:
DUE DILIGENCE MATERIALS
SALES & MARKETING COLLATERAL
SOCIAL MEDIA AUDIT
GP SALES