Public Communications and Advertising Review
For many financial services firms, public communications and advertising materials regulation is one of the most challenging aspects of their compliance obligations.
It has become a key area of focus for the SEC, FINRA, CFPB, FTC, state insurance departments and other regulators. At the same time, firms are required to handle more compliance activities than ever with little or no additional resources, creating a significant need to improve efficiency.
The NRS Solution
The ComplianceMAX Public Communications and Advertising Review solution addresses the specific workflow, submission and reviewing requirements of your firm to help you meet the compliance challenges of an increasingly connected world.
Public Communications and Advertising Review can help your firm’s compliance program become more manageable and efficient by:
- Establishing a SEC 17a-4 compliant centralized data repository backed up with a comprehensive business continuity plan
- Incorporating custom form content and workflow specific to a client’s unique internal policies and procedures
- Utilizing automated FINRA batch filing of advertising material, including the receipt of the FINRA Review Letter
- Ensuring superior data integrity made possible through dozens of validation checks
- Creating a complete audit trail of the lifecycle of each submission
- Mitigating risk and maximizing operational efficiencies
Register for a demo
View the video below for a quick overview.
For more information on the Public Communications and Advertising Review Module or any of our solutions that can help you meet your compliance needs, contact us today.
Achieving compliance with advertising and marketing material regulations can be difficult, risky and expensive, but it doesn’t have to be.
You can improve compliance, automate regulatory reporting and reduce expenses with ComplianceMAX.
The ComplianceMAX Ad Review Module is an on-line system that is updated to meet FINRA’s new rules governing communications with the public. It automates the entire compliance process, including tracking submission to FINRA’s AREF system as well as enforcing your policies and ensuring data validity and integrity. Plus it meets SEC17a-4 books and records requirements.
ComplianceMAX will make regulatory examination requests and reporting a snap and solve your compliance challenges.
Unbury yourself from e-mail, fax, voicemail and spreadsheet overload!
Visit our site, call or email us for your free demo now.