Marketing Review Software

Streamline marketing and advertising reviews with our ComplianceAlpha RegTech platform

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  1. ComplianceAlpha RegTech Solutions
  2. Marketing Review Software

The sheer volume of marketing and advertising materials a firm needs to review for compliance can place a huge strain on internal resources. With the SEC's new Marketing Rule now in effect, the load has only grown larger for some firms. Let our marketing compliance software and dedicated analysts lighten the load.

Watch our demo video below to learn more about our advertising review software.

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marketing review solution on laptop

Get your marketing and advertising materials reviews out of email and into our ComplianceAlpha® RegTech platform

Key features

Lighten the load for marketing and advertising reviews with our Marketing Review RegTech solution supported by our dedicated managed services team. Key features include:

Tailored review and approval workflows
  • Create a tailored process for reviewing and approving submissions
  • Create bespoke submission forms and tracking fields
  • Upload approved materials and templates to the document/template library
  • API integration with third-party or proprietary marketing systems
  • Upload materials for review to FINRA via AREF
Disclosure/disclaimer library and rules engine
  • Create a library of disclosures/disclaimers and definitions for tracking and validation
  • Create a library of certain words and phrases (lexicon phrases) to use in file searches
  • Configure flexible inclusion/exclusion rules based on disclosures/disclaimers, definitions, and lexicon libraries
  • Leverages automation technologies including optical character recognition (OCR), multilingual text transcription, and natural language processing (NLP) for file searches and rules validation
Support for video and audio files
  • Automated transcription capabilities
  • Full-text search capabilities
  • Multi-lingual support for transcription
  • Leverages natural language processing (NLP) for efficiency and accuracy
Dashboard, audit trail, and reporting
  • View the status of submissions, receive notifications, and visualize your workload
  • Search the electronic archive of materials
  • View a complete work log of all submissions and reviews
  • Run metric reports for business owners
  • WORM-compliant storage of submission records available
Annotations and mark-up tools
  • Annotate and mark up documents and files using built-in tools
  • Supports PDFs, Microsoft® Office® documents, video files, audio files, and image files
Managed services
  • A dedicated case manager for investigating Items of Interest
  • Help identifying potential gaps
  • Providing guidance on regulatory expectations and industry norms
  • Making recommendations for improvement
  • Assisting with developing review protocols
  • Reconciling performance claims
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SEC Marketing Rule insights and alerts

Learn more about the SEC's new Marketing Rule with resources and insights developed by our team of experts.
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