Public Communications and Advertising Review
Meet the compliance challenges of an increasingly connected world.
The ComplianceMAX Public Communications and Advertising Review Module streamlines your advertising review program with powerful, workflow-driven process management to create an efficient review process. Transform the intensively manual process of reviewing all communications and advertising materials including public and private web pages into an efficient electronic and automated process.
View the video below for a quick overview.
Key features and benefits:
- A 360-degree review process to facilitate paperless collaboration and approval between a registered rep and compliance professionals
- Annotation of uploaded documents, presentations, text or captured media
- Powerful tools to report and measure compliance across your organization
- Full books and records support for retention of communications, materials and approvals
- Complete audit trails documenting each submission, change process and approval
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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.