The SEC, FINRA, and state regulators are raising the bar on advisor advertising, from social media to client testimonials to performance claims. ActiveComply® gives wealth management firms the automated monitoring and review infrastructure to stay compliant at every level, from the home office to the field.
Managing advertising compliance across a team of advisors means staying ahead of the SEC Marketing Rule on every post, piece of collateral, and advisor website your firm publishes. ActiveComply® automates monitoring and review firm-wide, so your CCO has visibility across every advisor without the manual workload.
FINRA Rule 2210 doesn’t leave much room for error, and when registered reps are producing their own content across social media and digital channels, the home office is the one on the hook. ActiveComply® gives broker-dealer compliance teams centralized visibility across every rep and every channel, automating the supervision and recordkeeping FINRA expects before an exam ever gets scheduled.
When you’re running your own practice, compliance is just one more thing on your plate. ActiveComply® gives independent RIAs enterprise-grade advertising compliance monitoring without the enterprise overhead. We help you stay focused on your clients and ahead of your regulators.
