Avoid FINRA disciplinary actions with Red Marker's compliance software
Violations against FINRA and the SEC regulations are on the rise. Enforcement could cost millions in settlements, litigations or a ban from the brokerage industry entirely.
Two of the most powerful regulatory bodies in the U.S., FINRA and the SEC help conserve the integrity of the securities market. To promote transparency and fairness and protect investments, brokers and brokerages must satisfy the regulatory requirements set. With Red Marker, users receive real-time feedback aligned with their specific requirements, giving brokers the tools and confidence to proactively address FINRA regulations and compliance.
Brokers that are labeled a risk to the market can get banned from the industry.
There has been an increase in online and app communication from broker-dealers, forcing brokerage entities and individuals to adapt their compliance processes to the changing transactional landscape.
An effective compliance management system accounts for the range of content formats that promotional and marketing content can be delivered in.
Completing compliance review based on your specific industry needs 30X faster than manual review, Red Marker flags digital, web, and other marketing content to help institutional and retail broker-dealers mitigate risk against fraud, misconduct, and misleading claims that make customers and their investments vulnerable.
Without a detailed process for compliance review, it’s more challenging to ensure brand consistency. Misalignment in messaging and brand visuals can waste marketing team resources and damage a brand’s standing with customers. Red Marker is there to help create compliant content that today’s customers demand.
Avoid misleading claims, false advertising, and prevent losses with Red Marker’s compliance software.
Digital communications from broker-dealers are being delivered to customers at increasing frequency. With an increased need for content development and marketing, content and legal review teams are stretched to ensure all the elements of FINRA and SEC compliance are addressed. Our AI-based platform will keep you in good standing with the regulatory bodies at be.
Here are some of the ways you can utilize our Red Marker software to mitigate risk and ensure FINRA compliance:
Leverage advanced risk detection logic, AI, and web scanning technology to automate and accelerate your current content review processes.
Quickly scan digital and website marketing content in any format (PDF, XLS/CSV) for high-risk phrases, misleading claims and general misinformation before it’s delivered to your investors.
Make Red Marker an extension of your marketing and legal team by emailing content to our system as needed for instant, automated review.