Advertising and Marketing Review
Advertising and Marketing Review Compliance Solutions
The advertising regulatory environment is complex and ever-changing. Firms often struggle to manage their inventory of advertising materials and the required approvals and records.
Our team has experience with a wide range of financial firms, from boutique asset managers to global financial institutions and distribution networks. Speed to market with your unique messaging is critical to reaching prospects and maintaining existing relationships. We partner with our clients to develop a tailored advertising review process to meet their business needs. To help our clients get their message to market faster, we take a holistic approach to design efficient processes.
Finally, our Advertising and Marketing Review team develops customized training designed to provide functional teams with the knowledge they need to support content delivery while adhering to rules and regulations.
At Vigilant, we utilize an experienced team of Advertising and Marketing review professionals to provide a complete suite of Advertising and Marketing Compliance Solutions for Broker Dealers and Investment Advisers.
What Vigilant Can Do for You
Our tailored solutions include:
- An outsourced Advertising and Marketing Compliance Team
- Timely, transparent, and seamless review of advertising and marketing materials using industry leading advertising review technology
- Disclosure development
- Evaluating advertising and marketing library for risk, consistency, and maintenance
- Analysis and enhancement of Advertising and Marketing Compliance Policies, Procedures, and Processes for FINRA, SEC and Industry best practices
- Managing review process end-to-end, including submissions and communications with FINRA
- Developing Red Flag keyword searches to streamline the review process
- Training marketing teams to understand and apply advertising and marketing rules and regulations to help make the content development process more efficient
- Creating customized workflows to ensure a smooth advertising and marketing review process
Request Additional Information on our Marketing Compliance Services
Frequently Asked Questions
Click on a question below to view answers to questions Vigilant frequently receives.
Can Vigilant’s reviews help us get materials to market faster?
Vigilant’s review process is designed to provide timely, practical feedback that helps Firms move marketing materials through the review process efficiently while meeting compliance requirements.
Can Vigilant support firms with high volumes of marketing content?
Whether your firm experiences seasonal spikes or consistently high submission volumes, Vigilant provides scalable Advertising Review Services tailored to meet high volumes.
Get a sense for our Marketing Review Process here: Feeling “Overwhelmed” by Marketing Review | Vigilant Solutions
Can marketing reviews scale as our content volume increases?
Vigilant’s scalable Advertising and Marketing Review Services are designed to adapt as your content volume grows, allowing your Firm to maintain an efficient review process without compromising compliance.
Here is a guideline on how we can help scale and improve your existing Marketing Review Process: Common Marketing Review Mistakes and How to Improve Them: A Guide for RIAs, RICs, and Broker Dealers
What types of mediums does Vigilant have experience with?
Vigilant reviews marketing content across numerous communication channels, including Websites, Social Media Platforms (i.e., YouTube, LinkedIn, X, Instagram, TikTok, and Facebook), as well as Podcasts, Videos, Webinars, email campaigns, advertisements, and printed materials.
How does Vigilant’s review team integrate with our internal marketing department?
Vigilant works collaboratively with your internal marketing team, providing timely and practical feedback throughout the content development and review process. Our goal is to integrate seamlessly into your existing workflows while helping support efficient marketing reviews.
Related Vigilant Insights
Read all insights
Updated Marketing Rule FAQs Released
March 20, 2025