Our investment firm and broker-dealer advertising compliance services will assist you in adhering to compliance regulations and laws. Our services and expertise are personalized to meet your specific needs. Our services include:
- Outsourcing of your Advertising Compliance Department
- Maintenance of Advertising Compliance Manual
- Clear Process ℠ Compliance Review established with Client for quick and easy review of Advertising Materials
- Review of: Fund Fact Sheets, Marketing Materials, Websites, Article reprints, Presentations, Social Media, Annual and Semi-Annual Reports, Shareholder Letters and Broker-Dealer use only communications
- Provide comments in connection with applicable SEC and FINRA rules, and usage of a web-based portal to monitor and track the use of materials for compliance with these rules
- Marketing and Advertising review procedures manual with detailed processes
- Coordination of all communications between HIM and client for timely reviews and seamless approvals
- Training your marketing team to spot compliance issues and to produce materials that meet current regulations
If you work in the Broker/Dealer industry, SEC and FINRA rules and regulations affect many areas of your business, including your advertising and marketing efforts. Investment firms, funds and investment advisors are all subject to a myriad of laws regarding marketing and communication with clients. At Herald Investment Marketing, working with our (compliance consulting) and advertising review services provide you with someone with deep expertise and a thorough knowledge of SEC and FINRA rules to help you navigate this ever-changing landscape.
The Importance of Compliance Advertising Review
In addition to an ever-changing regulatory environment, many firms have periods of time when there is increased volume of advertising and marketing. During this period, staff may struggle to review all materials for compliance. In addition, during organizational changes or higher staff turnover, maintaining full compliance can be a challenge.
As new products are released, new marketing materials are updated and created, meaning there is more need for review for compliance. In addition, in today’s marketing and advertising environment, companies often submit material to social media accounts on an almost daily basis. Ensuring all of this material is compliant can be its own challenge.
FINRA’s Advertising Regulation Department reviews 100,000 communications each year for compliance, meaning you need to take steps now to be safe from penalties and audits. Even if you have taken steps to be compliant, if you do not meet the requirements of FINRA Rule 2210, you could face fines, penalties, loss of reputation and other serious consequences.
Trust Herald Investment Marketing
Herald Investment Marketing can help you develop a personalized and action-focused strategy for avoiding violations, fines and other negative outcomes. Our team can review your marketing strategy, current marketing materials and future marketing materials for securities regulations.
Herald Investment Marketing
As rules change, Herald Investment Marketing is here to help you navigate the system seamlessly. Our advertising review and compliance support solutions allows your firm to focus on clients while we handle compliance questions and issues. Our understanding of legal marketing matters, as well as regulatory frameworks, allows you to set up best practices for communications with clients. Request a proposal from Herald Investment Marketing today.
Modified: November 7, 2018