Coast to Coast Compliance can conduct reviews of your firm's advertising and marketing material, providing a comprehensive and independent perspective.
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. Coast to Coast Compliance can assist with the review and testing of your firm’s advertising and marketing material. This often includes, but is not limited to, a review of the following:
- Pitch Books;
- Marketing Decks;
- Due Diligence Questionnaires;
- Investor Letters;
- Press Releases;
Coast to Coast Compliance can also assist with email reviews, social media reviews (firm and employee-specific; encompassing LinkedIn, Twitter, etc.), and website reviews (including website disclaimers, suitability screening, etc.). The following are some of the most frequent compliance testing items that Coast to Coast Compliance performs for clients, as it relates to investment adviser advertising and marketing:
- Review for accuracy and consistency among firm documents and filings, including various marketing material and other investor facing deliverables.
- Review firm policies and procedures, as related to marketing material, and confirm compliance with and documentation of such procedures.
- Confirm that marketing material is maintained and how, as well as easily accessible in accordance with books and records rules.
- Confirm mechanism in place to evidence the procedure of approval of marketing material by the CCO.
- Review the firm's process for contact with prospective investors; is a CRM system used?
- Confirm mechanism in place to evidence the distribution of offering documents, DDQ's, etc. to prospective investors.
- Confirm the process by which the firm establishes suitability prior to solicitation.
- Does the firm utilize third-party marketers? Review contracts in place, disclosure on Form ADV, etc.
Whether you are an established firm and require ongoing reviews for advertising and marketing material, or a newly-formed firm seeking to include appropriate disclaimers and develop a review program, Coast to Coast Compliance can help.