MARKETING CORRESPONDENCE REVIEW
One platform for content compliance
A centralized place to maintain the proposed and approved communication materials, as well as track the approval process.
Manage all proposed marketing communications, including social media posts, in one platform.
Track reviews, approvals, and discussions with an easy-to-use workflow.
Maintain a complete, exportable audit trail for FINRA submissions.
Relevant rules
Addresses FINRA Rule 2210(d), which requires broker-dealers to document its review and approval of correspondence, such as marketing materials, for appropriate content standards.
Common deficiencies
Failure to have a system that reviews and retains marketing materials (including social media communications) and document reviews and approvals of content standards.
Knowtice’s prevention plan
Knowtice’s platform provides for a centralized place to both maintain the proposed and approved communication materials as well as track the entirety of the approval process, including discussions between the parties that propose and approve the communicated materials.
Real findings. Real fines
Recent fines of broker-dealers highlight the necessity of utilizing a system to track, review and document the basis for approvals of marketing materials.
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Use our Marketing Correspondence Review to prevent costly fines!
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