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By RegEd – Marketing and Advertising: the Compliance Factors All Banks Need to Consider


A number of well-publicized scandals in recent years have brought risky marketing and advertising practices to the forefront of investor consciousness and regulator focus. These risks are likely to be exacerbated as the fallout from the COVID-19 pandemic continues.

For banks to protect their reputation and serve the best interest of their customers, they must mitigate practices that fail to serve the best interest of investors, including non-compliant marketing, advertising and customer communications.

More banks are turning to specialized workflow management technology to optimize processes for communication submission, review, collaboration and approval, speeding time to market for review items.

Download this executive brief here to learn more.


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