Complimentary Sample Advertising/Marketing Review Form

April 18, 2012


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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.

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Posted by Bryan Hill
Labels: Advertising, Compliance Program