Advertising Review

Advertising Review

Broker Dealer Compliance Solutions

At Vigilant, we utilize an experienced team of attorneys to provide Broker-Dealer Advertising Compliance solutions. Using Red Oak Compliance Solutions, an industry leader in advertising compliance technology, our professionals will guide you through the advertising approval process to ensure your marketing is fully compliant with FINRA and SEC regulations. Our solutions and expertise are personalized to meet your specific needs. Our solutions include:

  • Outsourcing of your Advertising Compliance Department
  • Review of Advertising Compliance Procedures to FINRA and SEC best practices
  • Straight Through Processing to FINRA using Red Oak Software
  • Development of AI assisted Red Flagged keywords to improve language in marketing pieces
  • Provide comments in connection with applicable SEC and FINRA rules and comment letters.
  • Coordination of all communications between Vigilant through its Distributor and client for timely reviews and seamless approvals
  • Training your marketing team to spot compliance issues and to produce materials that meet current regulations
  • Full development of Red Oak workflows and customization to ensure a smooth marketing approval process from creation to distribution.

In addition to an ever-changing regulatory environment, a growing firm will often struggle to manage their required compliance approvals. In addition, during organizational changes or higher staff turnover, maintaining full compliance can be a challenge. Our team has visibility and experience with a number of global financial institutions and distribution networks. Because of this, we know how essential an efficient and smooth marketing approval process is to growing assets and profitability. We have the expertise needed to take your Firms marketing approval process to the next level.

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