Marketing Compliance

The firm's Marketing Compliance Practice Group provides the following services to the financial services industry:

Marketing Review:  We conduct legal review of marketing materials to ensure adherence to FTC, SEC and FINRA requirements, bank regulations, state law, GIPS standards, MSRB rules, privacy rules and trademark law.  The firm completes required regulatory and state filings, counsels on new product initiatives and serves as a resource on new rule initiatives and upcoming regulations.   

Training and Sales Practices:  We provide training to compliance teams and marketing and sales staff to ensure compliance with applicable laws, rules and regulations.

Evaluation and Testing of Marketing and Sales Practices:  We design and review policies and procedures to ensure that they are legally compliant and efficient.

We handle matters either on a complete outsource basis or on a case-by-case basis to support in-house legal and compliance departments with overflow.