Complimentary Sample Advertising/Marketing Review Form

April 18, 2012

Receive a complimentary sample Advertising/Marketing Review Form by clicking the “Like” button on our Facebook page.

This sample Advertising/Marketing Review Form can be used by your investment advisor’s chief compliance officer or designated supervisor to document whether proposed advertising and marketing pieces are approved or not approved for use by your investment advisor firm. This can help support your investment advisor’s on-going supervision and internal compliance policies and procedures requiring prior approval before marketing or advertising pieces are used.

If you’d like access to our periodic release of other complimentary forms and webinar recordings, please click here to “Like” the Facebook of RIA Compliance Consultants.

Posted by Bryan Hill
Labels: Advertising, Compliance Program