Advertising and Marketing Reviews

When it comes to marketing and advertising, the regulatory environment for investment advisers, broker-dealers, and private funds is extensive and complex – and a consistent focus area for regulators. “Marketing and advertising” refers to a wide range of activities, including dissemination of written communications and materials (e.g. newsletters, fact sheets, and pitchbooks), maintaining websites, using social media, and hosting seminars and investor meetings – just to name a few. Reviewing your marketing and communications is an essential part of ensuring compliance with applicable requirements, but many firms struggle with how difficult it is to understand the intricacies of regulations. As firms become more and more creative with their marketing strategies, having knowledgeable reviewers is critical to ensuring compliance.

At Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”) our experienced consultants are well versed in marketing and advertising requirements for financial firms, and can perform reviews, draft applicable disclosures, and even train appropriate personnel.