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∙Review your marketing materials, advertising and sales literature with the expertise of experienced marketing review principals. ∙Act as a resource for your compliance staff. ∙Prepare your materials for filing with FINRA, if necessary. ∙Act as a liaison with FINRA reviewers, as needed. ∙Provide expert counsel for questions regarding the preparation and revision of marketing materials, including an explanation of the relevant regulations. ∙ Create firm-specific disclosures and procedures. ∙Provide another perspective as well as suggestions for effective and compliant marketing.
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A Different Kind of Consulting Firm |
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We are career compliance professions who specialize in marketing, advertising and sales literature review. Our firm consists of industry professionals with a combined 20 years of experience in interpreting and advising on SEC and FINRA conduct rules associated with marketing and sales practices. Our experience covers a broad spectrum of the financial services industry. The vast majority of our experience has been devoted to the review of marketing materials for broker dealers, mutual fund companies, investment advisors and financial advisors. We have worked with both institutions and individuals and helped them to shape their marketing goals. Your firm’s marketing materials are the face of your firm and are the first thing that the public sees. They are also the first thing that regulatory entities see and they dictate the manner in which those entities treat you. Will your marketing material leave a good impression or a bad impression? The strict and ethical adherence to rules, regulations and stylistic elements will carry tremendous weight with viewers whether they are clients, potential clients or regulators. |
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