The Marketing Compliance Solution for Financial Services

In the nuanced regulatory landscape of financial services, banks and asset managers require a revolutionary solution that enables a scalable shift in compliance reviews of marketing and advertising. Using AI and automation, Red Marker simplifies and expedites the complex task of ensuring compliant content.

From Manual Reviews To Efficient, Automated Content Compliance Checks

Experience efficiency and precision at scale.

Instead of sifting through guides, rules and regulations when manually assessing content,  marketing, legal and compliance teams can leverage Red Marker to reduce the manual and repetitive aspect of reviewing marketing and promotional assets for compliance. We enable legal and compliance to focus resources on assessing complex risks requiring expert attention and marketing to work on creating compelling messaging.

Why Use Red Marker?

Harness the power of Red Marker’s intelligent software to transform the process of marketing compliance. We integrate machine learning and natural language processing, unifying marketing and compliance teams and catering to unique business needs through a deeply customized system. 


  • Automation efficiency: automate marketing compliance review, delivering results 30x faster than manual methods.

  • Actionable, consistent feedback: enjoy rapid identification and resolution of concerns such as incorrect disclaimers, high-risk words, misleading statements and other compliance issues. This enables efficient, subjective reviews providing marketing with consistent, actionable feedback.

  • Integrated compliance: Red Marker’s software seamlessly incorporates compliance into content creation. It ensures compliant messaging from the get-go, saving time and effort for your marketing and compliance teams.

  • Streamlined approval: fast-track regulatory approval for marketing materials, freeing up time for more strategic initiatives.

Financial Services Marketing Compliance Challenges

In a competitive and fast paced environment, Banks and Asset Managers can produce large volumes of marketing content that need to be assessed, triaged and approved under tight deadlines – often using inefficient and siloed methods, it is no surprise this can generate process bottlenecks and misaligned relationships internally. Implementing intelligent technology can alleviate these issues.

Rule Library Modules for Financial Services

Introducing a scalable, consistent way to manage marketing compliance in your organization. Our Rule Library modules below have been developed in line with key regulations to provide a foundational set of rules from Day 1, enabling faster transformation of your marketing compliance process.

In conjunction with these modules, we recommend working with our expert team to implement further custom risk detection. This approach is based on your internal guidelines, ensuring that the solutions we provide are not only effective but also highly relevant to your specific needs. 

SEC Marketing Considerations

Red Marker aids businesses in meeting the rules and requirements set by regulatory bodies, including the SEC.

The SEC’s extensive rules and regulations are crucial in governing marketing and advertising in the securities industry. These rules play a vital role in protecting investors, maintaining the integrity of financial markets, and ensuring transparent and accurate communications. They also include specific requirements for the content of materials, aiming to prevent misleading or false statements.

Red Marker provides foundational rule library modules for SEC rules, including Rule 206(4) and Rule 482. Our modules create a structured and automated approach to assessing content for sector-specific risk.

We provide you with the tools to thoroughly review marketing content in compliance with crucial SEC regulatory obligations, including:

  • Testimonials and past performance advertising
  • Disclosure of certain information
  • Prohibiting false or misleading statements 
  • Anti-fraud provisions regarding the use of performance data
  • Advertising resale of restricted securities
  • Regulation of advertising materials used by registered investment companies

Seamless Integrations

Whether you are using project management, workflow, or content creation tools, Red Marker enables you to effortlessly integrate third-party platforms, enhancing compliant content creation, streamlining legal review, and simplifying seamless compliance for your marketing and advertising content. Uncover our integration partners, chosen to boost your productivity and enhance efficiency, regardless of which department you work in.

ACA Compliance
Adobe Workfront
Microsoft PowerPoint
Microsoft Word
Red Oak

Frequently Asked Questions

Can Red Marker’s solutions adapt to changes in my marketing strategy?

Absolutely. Red Marker’s AI-driven compliance solution is based on custom logic, bespoke to your business needs. Designed to be flexible, we will work together to ensure any shifts in your marketing strategy, whether it’s a change in content style,  guidelines, or target audience, is incorporated by Red Marker.

Does Red Marker provide any training or support to use its compliance solutions?

Yes, we offer comprehensive education and ongoing assistance to ensure you get the most out of our solutions. Our team is always available to answer any questions and guide you through the process.

You can email, or you can use our in-app support function to start a new conversation with us.

Can Red Marker help navigate international regulations if we decide to expand our market?

Yes, Red Marker is designed to adapt to various international regulatory landscapes. If your company decides to expand into new markets, our custom risk identification can be updated to reflect the specific compliance requirements of those regions.

Accelerate Your Journey To Scalable Marketing Compliance

Does your business want to take the first step toward automated compliance but need help figuring out where to start? Our guides can help you establish a business case for investing in a more efficient marketing compliance workflow.