Public Communications and Advertising Review
Designed by industry experts, tailored to your individual requirements, and operating on the infrastructure of a world-leading provider of information solutions.
View the video below for a quick overview.
The requirements for public communications and advertising compliance driven by FINRA and the SEC create an abundance of challenges for financial institutions, including:
- Complying with FINRA Rule 2210
- Managing a High Volume of Submissions
- Compliant and Convenient Recordkeeping
- Simplifying Oversight Efforts
Broker-dealers, investment advisors and mutual funds all face similar difficulties in administering an efficient and reliable process to address public communications and advertising compliance.
The NRS Solution
NRS offers a comprehensive SaaS solution to public communications and advertising compliance. NRS’ solutions are built with the expertise of our in-house staff of regulatory consultants and feedback from our clients. The solution can be easily configured to your firm’s unique internal policies and procedures, including content, workflow and alerts.
By minimizing administrative functions, your Compliance Professionals can devote their efforts to risk mitigation and ensuring that your firm remains compliant.
Benefits and Features
- Founded on the expertise of NRS Regulatory Consultants
- SEC 17a-4 Compliant WORM Storage
- Formal, Tested Disaster Recovery Plan
- Annual SOC Type 2 Report
- Complete Audit Trail
- Automate the filing process and the retrieval of the FINRA Review Letter
- Manage large volumes of submissions
- Establish SSO and/or a recurring user/branch hierarchy import
- Incorporate your existing Policies and Procedures (Configurable Workflow, Online Form, Alerts, Homepage)
- Consolidate all Ad Review information, past and present
- Publish and expire approved material using a Document Management
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.