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:
Advertising Review

  • 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