Advertising Review Archives

RegEd Expands Intelligent Capabilities for its Market-Leading Advertising Compliance Review Solution

RegEd’s Application of Advanced Technology Reduces Human Intervention in the Advertising Review Process by up to 70%. RegEd has expanded the Submission Intelligence capabilities of its Enterprise Advertising Review solution, providing financial services firms and banks with best-in-class functionality to power their marketing, advertising and customer communications review processes. Enterprise Advertising Review’s Lexicon Detection automatically flags problematic keywords and phrases using firm-customized business rules while Smart DisclosuresSM detects and confirms that submission items contain the proper disclosures. Together, the combined capabilities of Enterprise Advertising Review’s Submission intelligence and Intelligent Review modules reduce review time by more than 50%, and in […]

Documentation and Compliance Key in FINRA Sweep Exams of Options Accounts

Broker-dealers need to document their firm’s processes for supervising options trading and demonstrate compliance with them in new FINRA sweep exam on option accounts. The industry self-regulator is conducting targeted examinations of broker-dealers’ supervision of options trading as part of its ongoing efforts to protect retail investors. FINRA CEO Robert Cook had indicated in July that the sweep would be coming and the regulator followed through shortly thereafter, releasing its Targeted Examination Letter on Option Account Opening, Supervision, and Related Areas in early August. “Options are tricky and can be difficult to understand for certain investors. Even registered representatives recommending […]

RegEd will Present Enterprise Compliance Solutions for Banks at the ABA Regulatory Compliance Conference

RegEd will showcase its enterprise compliance platform for banks at the American Bankers Association’s Regulatory Compliance Conference, which will be held virtually from June 22-24. The National Conversation on Compliance will provide participants with in-depth regulatory analysis, benchmarking data from across the industry, and practical implementation strategies for current compliance challenges. The ABA Regulatory Compliance Conference includes sessions on timely topics such as: Leading Practices in Assessing and Mitigating UDAAP Risk Reviewing Your Compliance Policies and Procedures for the New Environment Customer Communications Compliance Navigating Virtual Examinations The Future of Regulation The conference will also include a virtual marketplace with […]

RegEd Reaches 3 Million Submissions Reviewed on its Enterprise Advertising Review Solution

Adoption by scores of financial services firms, including 7 of the top 10, fueled exponential growth in volume over the last two years. RegEd, the leading provider of RegTech solutions to the financial services industry, today announced that Enterprise Advertising Review, an advanced technology solution that automates the advertising compliance review process, has processed more than 3 million submissions to date. Regulators such as the SEC and FINRA are highly focused on marketing, advertising, and customer communications to ensure that they are fair, balanced, and not misleading, as well as compliant with regulatory rules. A major challenge for financial services […]

Advertising Review: Is Your Marketing Collateral Review Process 17a-4 Compliant

RegEd’s Advertising Review solution is built to support firm’s marketing collateral approval process. In addition to robust workflows, Advertising Review is designed with compliance in mind including Worm and D3P support per SEC requirements. Many regulations imposed by FINRA and the SEC have to do with the archiving of electronically stored information (ESI). Therefore, to ensure compliance firms are required to archive all necessary ESI. However, just archiving the data is not enough. SEC Rule 17a-4 mandates it must be archived in the proper format to meet compliance standards. Write Once Read Many (WORM) WORM describes a data storage device […]

Advertising Review: Leverage Next Gen Annotation Tools to Streamline the Review Process

RegEd is excited to announce expanded support for annotations within the industry-leading Enterprise Advertising Review solution. Reviewers and submitters can now annotate materials using their browser of choice (Internet Explorer 11, Chrome v75+, Firefox v62+, Edge v44+) to allow more flexibility according to their preferences. Additionally, users may now optionally ‘lock’ annotation comments such that only the individual that submitted the comment will be permitted to delete it, regardless of when created in the review process. The enhanced annotation tool allows reviewers to easily provide specific feedback on review items by adding comments, highlighting and leveraging various markup tools. Subsequently, […]

FINRA Priorities Letter Highlights Customer Communications as the Subject of Heightened Focus for 2020

FINRA’s 2020 Risk Monitoring and Examination Priorities Letter serves to document areas of emphasis for the coming year, which firms may consider for opportunities to improve their compliance and supervisory programs. Among the highlights in the 2020 letter is an emphasis on firms’ compliance with obligations relating to FINRA Rule 2210 (Communications with the Public), including their marketing, advertising and sales materials. “FINRA will review how firms review, approve, supervise and distribute retail communications regarding private placement securities via online distribution platforms, as well as traditional channels.”– FINRA 2020 Risk Monitoring and Examination Priorities Letter Learn how leading firms partner with RegEd […]

RegEd to Showcase Enterprise Compliance Solutions at 2018 NSCP National Conference

Attendees will learn how RegEd enables hundreds of clients to efficiently meet compliance obligations associated with conflicts of interest, advertising review, branch audits, employee risk monitoring, onboarding and licensing and registration RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce its participation in the 2018 National Society of Compliance Professionals (NSCP) National Conference in Atlanta, GA, on October 29-31, 2018. Recognized as one of the most comprehensive educational offerings within the securities compliance industry, the NSCP National Conference offers more than 60 sessions, covering topics that are relevant to investment advisers, broker-dealers, […]

Advertising Review: 4 Ways to get the Most From Your-Reports

Reports show trends on how well your firm did in the past, as well as what’s coming down the pike. These are key factors that drive success for the firm. Information provided by reports is especially important in today’s compliance environment, where it’s critical to be proactive instead of reactive. To make the most of RegEd’s Advertising Review reporting capabilities, follow these proven steps to improve your process. 1. Determine what's important to your firm Executives consider reporting vital to find answers to questions regarding their business. Start by asking questions at the top. When prototyping your reports, it’s important […]

Efficiencies with Advertising Review’s Two-Way FINRA Integration

Firms filing their advertisements with FINRA know how time consuming and cumbersome the process can be. Not only does the firm need to review collateral based on internal processes, but they also need to organize and send firm-approved files to FINRA based on FINRA 2210. FINRA offers two ways to initiate the review process – either manually through their web portal, or by integrating with its Advertising Review Electronic Files (AREF) system. Since AREF was introduced with RegEd’s Advertising Review solution in 2010, firms had the ability to automate the sending process. As of the spring 2018 release, firms can […]

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