This page describes how our workflow is built to support your firm's review process. It is not a compliance certification, and it doesn't replace your own compliance officer's or attorney's judgment.
Read this first: Nothing on this page should be read as a guarantee of regulatory compliance. Broker-dealer, insurance, and RIA compliance requirements vary by firm, by state, and by regulator, and they change. What's described here is a workflow designed to make review easy for your compliance officer — the actual approval, every time, is theirs to give.
A broker-dealer, insurance, or RIA advisor operates under supervision requirements that a typical marketing agency isn't built around. Messaging that would be routine for most industries can create real exposure here. The workflow above exists because the review step has to happen before anything goes out — treating it as an afterthought is where most generic marketing approaches break down for regulated advisors.
Access to your compliance officer or review process early — ideally in the discovery call — so campaigns are built around real constraints, not assumptions about what a "typical" regulated firm requires.
Final approval on every message, full visibility into what's been sent, and documentation that fits your existing archiving requirements rather than a separate system you have to reconcile.