The Compliance Challenge for Small Firms
If you run a small RIA, you already know the drill. You write a blog post or put together a client newsletter, and then you spend the next hour second-guessing whether you accidentally tripped over some Marketing Rule requirement. Did you include the right disclosures? Is that performance claim going to get flagged? You pull up the SEC guidance, cross-reference it with your compliance manual, and hope for the best.
We built Compliance Approved because we got tired of watching small firms struggle with this. The big wirehouses and large RIAs have entire compliance departments and six-figure software budgets dedicated to reviewing marketing materials. But if you are a two-person shop managing $80 million, you are probably the portfolio manager, the CCO, the marketing team, and the IT department all rolled into one. You do not have time to become a Marketing Rule scholar on top of everything else.
What We Built
So here is what we made: a platform that lets you upload your marketing materials — website copy, social posts, client newsletters, pitch decks, whatever — and get them analyzed against SEC and FINRA advertising requirements. The system checks for the stuff that trips people up most often:
- Missing disclosures
- Unsubstantiated performance claims
- Testimonial compliance issues
- Language that tends to attract examiner attention
How It Works
We are not trying to replace your compliance consultant or your CCO. What we are trying to do is give you a first pass that catches the obvious issues before a human reviewer ever sees the document. Think of it as spell-check for compliance — it will not write your marketing for you, but it will flag the things that could get you in trouble.
Why We Built This
The platform is live today, and we are starting with marketing material review because that is where we see the biggest gap between what small firms need and what they can currently afford. > SEC exam data consistently shows that marketing compliance is the number one deficiency area, and it hits small firms hardest because they have the fewest resources to dedicate to getting it right.
Get Started
If you want to be first in line when we launch, start a free trial. No sales call required. We would rather let the product speak for itself when it is ready.