Marketing Review and Approval Workflow
A streamlined workflow that takes marketing materials from submission to approval with full audit trail, AI-assisted review, and built-in regulatory checks for the SEC Marketing Rule.
Ad Hoc Review Processes Create Risk
Email threads, shared drives, and spreadsheets are not an audit trail.
Without a structured workflow, marketing materials go out without proper review, approval records are incomplete, and your firm cannot demonstrate a culture of compliance to examiners. The SEC expects firms to have written procedures and evidence of their application.
How It Works
Four stages from submission to archived approval
Submit for Review
Advisors upload marketing materials through a simple form. Files are automatically tagged with metadata and routed to the right reviewer.
Compliance Reviews
The CCO or designated reviewer sees AI-identified issues, flagged issues, and regulation citations alongside the original document.
Request Changes or Approve
Leave inline comments, request specific changes, or approve with conditions. Every interaction is logged.
Approved and Archived
Approved materials receive a timestamped approval record. The complete review history is stored for exam readiness.
Key Capabilities
Built for the realities of marketing compliance
Review status tracking and deadlines
Multi-reviewer workflows and delegation
Rule 206(4)-1 automated checks
Testimonial and endorsement compliance
Version comparison and change tracking
Performance advertising safeguards
Revision cycle management
Inline commenting and annotations
Regulations Covered
Compliance rules built into every review
Ready to transform your compliance workflow?
Be among the first to experience AI-powered compliance technology.