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Industry Challenge
Both Compliance and Marketing have critical roles in supporting core business objectives and effective, efficient Advertising Review is integral to that goal. However, managing the advertising and customer communications review, approval, and document management processes can present significant challenges for financial services firms. The process must fully address compliance requirements pursuant to state, federal, FINRA and other customer communication regulations, while facilitating a seamless review process that enables all stakeholders to increase the quality and effectiveness of the firm’s marketing communications, while speeding time to market.
RegEd Solution
RegEd’s Advertising Review Solution is a market-leading solution that has earned high marks from Compliance, Advertising Review, Marketing, Sales and IT stakeholders in dozens of firms across the nation. Advertising Review presents a single, integrated solution that streamlines the end-to-end processes for advertising and customer communication submission, review, collaboration and approval, speeding time to market for review items so that sales campaigns are launched in the expected timeframes and with the highest level of quality.
Hallmarked by unmatched flexibility, configurability and ease-of-use, Advertising Review drives the highest levels of efficiency and delivers extraordinary value for the investment, enabling firms to handle projected volume growth without compromising review quality or turnaround.
Robust workflow capabilities enable firms to mirror existing workflows and processes, avoiding the need to reengineer work processes to conform to the solution. Submission routing and submission forms are fully customizable within the context of the firm’s organizational hierarchy. In addition, Smart Workflow capabilities intelligently route all advertising submissions through the review process.
A comprehensive data repository stores all approved materials in a searchable communications library where approved material can easily be accessed for reuse, saving valuable time and resources for both marketing and compliance professionals. RegEd Advertising Review fully supports SEC 17(a)-4 compliance.
Smart Features Speed Submission and Review Processes
Only RegEd’s Advertising Review Solution integrates business intelligence specifically designed to automate processes and drive efficiency in the Advertising Review cycle. Smart Workflow intelligently routes submissions through the review process. Smart Tracking enables reviewers to reference approved versions of recurring submissions, providing immediate context to speed review decisions. And, Smart Work Queue provides the ability to prioritize review tasks based on firm-defined business rules.
Distinguishing Capabilities
For Submitters
- User-friendly interface presents plain-language guidance during the submission process and enables inclusions of multiple items in a single submission.
- Unrestricted file type, support for large file size allow submitters to include rich content such as audit, video, and animation.
- Access library of approved material, reuse an existing piece or as basis for a new communications piece.
- Receive timely, in-context input from reviewers to speed revisions and approval.
For Reviewers
- User-friendly interface presents plain-language guidance during the submission process and enables inclusions of multiple items in a single submission.
- Unrestricted file type, support for large file size allow submitters to include rich content such as audit, video, and animation.
- Access library of approved material, reuse an existing piece or as basis for a new communications piece.
- Receive timely, in-context input from reviewers to speed revisions and approval.
For Marketing
- User-friendly interface presents plain-language guidance during the submission process and enables inclusions of multiple items in a single submission.
- Unrestricted file type, support for large file size allow submitters to include rich content such as audit, video, and animation.
- Access library of approved material, reuse an existing piece or as basis for a new communications piece.
- Receive timely, in-context input from reviewers to speed revisions and approval.
- Integration with client-internal systems such as HR and Marketing Automation systems, drives the most efficient, end-to-end process for customer communications review and compresses the turnaround time of marketing campaigns and speeds the ability to achieve the associated revenue.
For Administrators and Other Stakeholders
- User-friendly interface presents plain-language guidance during the submission process and enables inclusions of multiple items in a single submission.
- Unrestricted file type, support for large file size allow submitters to include rich content such as audit, video, and animation.
- Access library of approved material, reuse an existing piece or as basis for a new communications piece.
- Receive timely, in-context input from reviewers to speed revisions and approval.
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“With approximately 10,000 submissions to review annually, and new submitters added daily, CUNA Mutual Group required a single integrated solution to streamline the end-to-end process, memorialize the review and approval cycle and enable readiness for regulatory exams. We needed a solution that enabled efficient exam preparation and allowed us to be responsive to information requests from examiners.”
– Vicki Lins, Manager of Ethics and Compliance at CUNA Mutual Group
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Schedule a
Consultation
Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise solutions enable our clients to improve efficiency, effectiveness and transparency across the enterprise.