Compliance with advertising laws and regulations in the investment advisory industry is a challenge for any company since most of the rules are vague and confusing. The cost of not meeting this challenge is hefty fines or a damaged reputation. With our advertising review service, we partner with you and your team to ensure all your advertising and marketing is being reviewed effectively and efficiently.
The SEC and other regulators are placing increased focus on marketing and performance information, including preparation, reporting, and footnoting. Our advertising review team has years of experience in all product areas including performance reporting. We will review your advertising and performance presentations, including your website and performance data. We then make recommendations for appropriate procedures and disclosures to make your marketing material compliant with SEC and state investment adviser regulatory requirements.
Whether you are in need of a short-term or permanent solution, our team of experts can help you fulfill your regulatory requirements by reviewing your advertising for you.
Our Advertising Review Service Includes the Following:
- General Marketing Material
- Mutual Funds/ETFs
- Alternative Investments
- Private Funds
- Hedge Funds
- Website reviews
- Performance Language
Red Oak Compliance Advertising Review Software
We use technology to be “down the hall” from our clients. Our proprietary advertising review software, Red Oak, allows us to review your material quickly and accurately with an automated workflow, full-submission tracking, search and reporting capabilities, and a robust audit trail and archiving. This helps maximize efficiency while reducing cost. With Red Oak, you do not have to worry about submissions falling through the cracks; you have full transparency into your advertising submissions and review metrics.
Looking for software to help with your internal advertising compliance review?