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 shift in compliance reviews of marketing and advertising. Using AI and automation, Red Marker simplifies and expedites this complex task of ensuring compliant content.

From Manual Reviews To Efficient, Automated Content Compliance Checks

Experience efficiency and precision at scale in your content compliance review process.


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. This enables 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 ambiguous disclaimers and high-risk content, enabling efficient, subjective reviews, providing marketing with consistent, actionable feedback.
  • Integrated compliance: incorporate compliance into content creation, ensuring compliant messaging from the get-go
  • 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.

Navigate Regulatory Obligations With Ease

Red Marker aids businesses to meet rules and requirements set by governing regulatory bodies including the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC).

The SEC has a number of rules and regulations governing marketing and advertising in the securities industry. These rules are designed to protect investors and maintain the integrity of the financial markets, as well as provide guidance for ensuring transparent and accurate communications. This includes specific requirements for the content of materials and aims to prevent misleading or false statements.



SEC Marketing Considerations

  • Restrictions on testimonials and past performance advertising
  • Disclosure of certain information and prohibiting false or misleading statements in mutual fund advertisements
  • Anti-fraud provisions regarding the use of performance data in fund sales material
  • Advertising resale of restricted securities
  • Regulation of advertising materials used by registered investment companies, including mutual funds

These provide a flavor of the variety of regulations enforced by the SEC in the context of marketing and advertising in the securities industry.

Red Marker takes SEC rules and guidelines into account when conducting a comprehensive compliance risk assessment of each piece of content, checking for sector-specific risks as well as the customized legal and brand rules required by your business.

A Productivity Boost Like No Other

Red Marker’s AI-powered marketing compliance solution handles content review and correction, allowing Marketing to focus on developing strategy, compelling content and building lasting connections with audiences.

Seamless Integrations

Whether you are using project management, workflow or content creation tools, Red Marker enables you to weave in third-party platforms effortlessly, enhancing compliant content creation, streamlining legal review and making seamless compliance for your marketing and advertising content simple. 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 Effective Marketing Compliance

Does your Bank or Asset Management business want to take the first step toward automated compliance but isn’t sure where to start? Our guides can help you establish a business case for investing in a more efficient marketing compliance workflow.