Is Compliance Slowing Down Your Investment Content Marketing?
Posted March 31, 2021 by Rachel Totten
For investment managers, the most differentiating factors are speed-to-market and customer-centricity. Though, these can be derailed when firms have inefficient compliance review processes. In fact, many firms have a hard time complying with SEC Rule 17(a)-4. Simple workflows won’t accommodate this form of record keeping. So, firms are investing in automation tools to streamline this process and minimize risk. Automation tools for investment content include compliance workflows that enable teams to manage disclosures, data, and review processes. By integrating content and compliance review automation, firms see the best of both worlds. In this article, Synthesis Technology CEO, John Toepfer, and Red Oak Compliance Solutions CEO, Stephen Pope, explain how to fix the issue of compliance slowing down content marketing and sales outreach.