Category Archives: Compliance



How to Prep Your Team for Digital Sales Enablement

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Guest post by Meghan Rees, Digital Communications at Mediafly


Sales and marketing teams in the financial services industry have their work cut out for them. Marketing teams struggle to create content and processes that will be well-received by the sales group. Salespeople, in an effort to be more client-centric, tweak materials themselves, creating “rogue” content that is not compliant with regulatory and brand standards. When compliance approvals and procedures are bypassed, the firm is exposed to significant risk.

To some extent, all investment firms struggle to create and present client-focused content that is on-brand and compliant. Weighed-down by the risk of penalties and the pressure of working in a competitive business environment, financial services companies are turning to digital platforms to streamline their efforts and improve engagement with prospective clients.

Adopting a sales enablement solution may be the obvious choice to help with content automation and effective sales engagement, but building a case internally and setting expectations with the teams are crucial to a successful implementation.

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Q&A Discussion: Blending Marketing Customization & Compliance in Financial Sales

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The Financial Sales Success Formula

In the heavily-regulated world of investment management, consistency and harmony between functional areas, including marketing, sales and compliance, are key goals for competitive advantage. However, blending customization and compliance is difficult to achieve.

Many disconnects happen at investment companies when marketing creates collateral which, from the sales perspective, misses the mark on client-focus and relevance—all before a compliance review. Ultimately, in the name of making the sale, salespeople customize presentations, creating multiple versions along the way that are difficult to track. This unwieldy process can cause compliance, branding, and messaging nightmares that may lead to fines, outflows, and lost revenue.

Firms are almost always aware that these disconnects exist and want to fix them, yet don’t know where to start. We recently held a webinar; The Sales Success Formula in Financial Services: Blending Customization and Compliance, to discuss this very topic. It was a Q&A session moderated by investment marketing expert Andrew Corn of E5A Integrated Marketing and explored the ways in which firms are using digital transformation to disrupt the status quo and gain competitive advantage.Read More

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[Podcast] Conquering Compliance: Creating Marketing Processes that Salespeople Will Follow

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Red Oak Compliance CEO Stephen Pope

Red Oak Compliance CEO, Stephen Pope, discusses how asset managers can create marketing and sales processes that are both compliant and extremely efficient.

In this episode, we are joined by Stephen Pope, CEO and co-Founder of Red Oak Compliance. Stephen offers us some insight into the current issues and challenges he’s seeing with the marketing and sales process at asset management firms today. He explains how firms are creating marketing approval processes that salespeople will actually follow, and offers best practices for improving time-to-market of sales materials, such as a three-tier risk workflow system. Red Oak helps financial services companies improve their regulatory advertising review workflow processes. Their industry-leading web-based SaaS application, Admaster, helps firms get their materials approved and to market in less time, reduce regulatory risk, and improve efficiency. We hope you takeaway some useful ideas from this episode. Thank you for listening and enjoy the show!

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What’s Driving Asset Managers to Automate Pitchbooks?

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Why Automate Pitchbooks? Four Drivers influencing managers to automate

Why automate pitchbooks? Asset Managers recognize automating the marketing and sales process is required in order to be efficient, compliant, and competitive. The manual process of updating pitchbooks and distributing them to the sales force is an antiquated process. It doesn’t adequately serve salespeople or their clients and prospects. There are four main drivers influencing asset managers to automate this process:Read More

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