Asset Management professional

The challenges for Legal and Compliance teams within the Investment and Asset Management sector lie in several places when it comes to marketing compliance.

  1. Ensuring comprehensive coverage of all relevant regulations
  2. Accuracy and precision in risk detection 
  3. Building a scalable approach to reviews

As a complex and typically resource heavy process, implementing technology to assist reviews of content has historically been time consuming, requiring bespoke aspects and incorporation of regulatory nuance. 

Red Marker aims to efficiently move clients from a position where there may be a loose systematic approach to risk detection, or scalability issues, to a safer and more consistent compliance review process, making it more efficient to meet regulatory obligations.

For Asset Managers that cover the EU jurisdiction and are looking to implement automated risk detection and bring their marketing compliance process up to speed, Red Marker’s Asset Management Rule Library is the fastest way to implement robust, consistent and intuitive compliance checks across marketing, advertising and promotional communications. 

Red Marker’s EU Asset Management Rule Library

This Rule Library references key EU guidelines, including MiFID II, SFDR, and other ESMA-administered regulations, providing a solid risk detection basis enabling thorough scrutiny of diverse marketing materials, with minimal customisation required. 

  • User-Friendly Platform for Compliance Professionals

Our platform allows compliance professionals to upload marketing materials for meticulous review against regulations using AI and automation. With an intuitive interface,  documents can be analysed and turned around in minutes. All flagged risks come with adjacent remediation advice for quick and informed decision-making.

  • Red Marker’s Impact on Marketing Compliance

Red Marker accelerates and enhances marketing compliance review processes, minimising time commitments from your team. This systematic approach ensures baseline risk detection across the organisation, reducing reliance on individual compliance knowledge, manual risk identification and promotes consistency.

  • Rule Library and Regulatory Alignment

Referencing key EU guidelines, our Rule Library offers comprehensive coverage, streamlining risk identification through automation, this solution demonstrates your commitment to regulators in conscientiously aligning with crucial compliance regulations.

Example Rule Library coverage


•MiFID II Directive Art 24

•MiFID II Delegated Regulation (Commission Delegated Regulation 2017/565), Chapter 3, Sections 1 and 2.


•Regulation (EU) 2019/2088 on  sustainability-related disclosure in the financial services sector

•Regulation (EU) 2020/852, Articles 3, 5, 6 and 9

Other ESMA-administered regulations

•ESMA Guidelines on marketing communications under the Regulation on cross-border distribution of funds.

•CBDF Regulation (Regulation (EU) 2019/1156) Art 4.

•UCITS Directive (Directive 2009/65/EC) Arts 63(4) and 77.

•Market Abuse Directive (Regulation 596/2014) Art 20(1) as implemented by Commission Delegated Regulation 2016/958 Arts 2-6.6

What the Rule Library provides

  • Efficient Implementation
    • Benefit from expedited implementation timing with a foundational set of risk identification rules.
    • Enhance existing workflows or build new, scalable review processes.
    • Centralise internal marketing compliance policies, guidelines and rules.
  • Tailored Risk Detection
    • Customise foundational library rules as needed.
    • Add additional custom rules for a more tailored risk detection experience.
    • Address emerging priorities from compliance and legal perspectives.
  • Collaborative Rule Development
    • Before introducing new rules or amending existing ones, Red Marker collaborates with power users and decision-makers in customer organisations.
    • Ensure changes align with customers’ internal policies and processes.
  • Continuous Monitoring and Evolution
    • We monitor the environment through legislative alerts, regulator announcements, industry news, horizon scanning, and usage data.
    • The library evolves based on emerging best practices, new expectations, and technology advancements to reduce user effort.
  • Company-Specific Policies
    • Once Red Marker handles the basics, collaborate to implement company-specific policies and protections unique to your organisation.
  • Comprehensive Oversight
    • Receive automatic email notifications for reviews.
    • Benefit from a comprehensive audit trail ensuring full compliance.
  • Consultation and Support
    • Leverage our implementation team for consultation on the best approach for your organisation’s needs.
    • Work collaboratively with Red Marker staff to align changes with internal policies and processes.

See how it works

The EU Asset Management Library streamlines risk identification in marketing materials, reducing workloads. Developed in collaboration with our clients, leading global asset managers in the UK and EU, it consolidates essential rules for marketing reviews in this sector, ensuring consistency and compliance with regulatory obligations with the benefits of automated processes.

If you would like to learn more about this Rule Library or see how it works in practice, you can book a consultation, or review our Resources.

This content is only a summary and general overview. It is not intended to be comprehensive and does not constitute legal advice. You should seek legal or other professional advice particular to your circumstances before acting or relying on this content. Use of Red Marker does not guarantee compliance. Please note that some provisions in the regulations referred to above are not addressed by the Rule Library because (among other reasons) the provision does not relate to core marketing material or is not appropriate to detect using Red Marker. Please contact us to discuss the Rule Library’s coverage of specific provisions in greater detail. The Rule Library is updated yearly or as required.

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