Solving the Disclosure Management and Compliance Review Problem for Investment Marketers

Improve risk management and shave hours off the marketing review process

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For investment marketers, disclosure management and compliance review can add complexity to the content creation and distribution process.  Most asset managers agree that disclosure management processes today are too cumbersome and manual. Firms also report that their marketing and compliance teams’ processes and systems aren’t very well integrated. So, this leads to inefficiencies and poor risk management around the content marketing process. Through our partner integrations, Synthesis solves the disclosure management problem and closes the loop on the end-to-end content creation and compliance review to help firms minimize risk, reduce costs, and increase efficiencies that lead to better marketing and more AUM growth.

It’s Music to the Marketing, Compliance, and Legal Teams’ Ears

Cut Down Time Spent Reviewing Marketing and Client Communications

Ensure marketing uses the right disclosures on materials and cuts down on the back-and-forth in the marketing review process. Our integration with Red Oak Compliance Review Software allows your team to easily identify current or outdated disclosures, thus reducing time to market and risk to the firm. Get compliant marketing communications out quickly, and have confidence in your final product from both a brand and regulatory perspective.

Centralize Disclosures and Marketing Content to Create a Single Source of Truth

Put compliance at the center of your marketing process. Ditch the back-and-forth emails, weekly meetings, and “the master document” to communicate disclosure changes. Remove tedious cutting and pasting of disclosures into document templates and website CMS systems.  Create a centralized disclosure library that serves as a single source of truth for disclosures. Specifically, one with options for importing, exporting, versioning, usage instructions, and language variations, with a full audit trail. Take it a step further by integrating your content automation and compliance review systems. This allows you to submit, review and approve materials easily while gaining full transparency over the process.

Comply With Regulatory Standards and Maintain a Complete Audit Trail

Track submission history from start to finish with automated tracking and record-keeping and stay 17(a)-4 compliant with our holistic solution. Show regulators that you have a responsible process in place. With end-to-end content automation, disclosure management, and compliance review solution, you’ll keep the SEC off your back. Also, you’ll provide your representatives, analysts, and management with full visibility into your compliance process.

From the Blog: Creating Efficient Marketing Processes to Avoid Fines and Needless Back-and-Forth

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