Coast to Coast Compliance conducts reviews of your firm's advertising and marketing material, providing a comprehensive and independent perspective.
Why advertising review draws regulator attention
Investment advisers and other financial services firms are required to adhere to anti-fraud rules, among other advertising and marketing standards, and this has consistently been a focus of regulators. Marketing is often the first thing an examiner compares against your filings, and inconsistencies surface quickly.
Material we review
- Reports
- Factsheets
- Pitch books
- Marketing decks
- Due diligence questionnaires
- Investor letters
- Press releases
- Articles
Coast to Coast Compliance also assists with email reviews, social media reviews covering both firm and employee accounts, and website reviews including disclaimers and suitability screening.
What the testing looks at
The following are among the most frequent compliance testing items we perform for clients:
- Reviewing for accuracy and consistency among firm documents and filings, including marketing material and other investor-facing deliverables
- Reviewing firm policies and procedures as they relate to marketing material, and confirming compliance with and documentation of those procedures
- Confirming how marketing material is maintained and that it is easily accessible in accordance with books and records rules
- Confirming a mechanism is in place to evidence CCO approval of marketing material
- Reviewing the firm's process for contact with prospective investors, including whether a CRM system is used
- Confirming a mechanism is in place to evidence distribution of offering documents and due diligence questionnaires to prospective investors
- Confirming the process by which the firm establishes suitability prior to solicitation
- Reviewing third-party marketer arrangements, including contracts in place and disclosure on Form ADV
Whether you are an established firm requiring ongoing reviews or a newly formed firm developing a review program and appropriate disclaimers, Coast to Coast Compliance can help. contact us to get started.
.svg)
