US Financial Promotions Model
For US financial-services teams reviewing adviser, fund, broker-dealer, banking, lending, securities-offering, insured-status, and digital-asset content.
US Financial Promotions is in beta. Contact our team to discuss your content, coverage requirements and beta access.
- Status
- Beta
- Region
- United States
- Modes
- Review
- Inputs
- Content · web pages · image ads
Built around the people
who carry the decision.
The model is useful where content volume has outgrown email, tracked changes, and memory, but the accountable reviewer still needs to understand and own the final call.
Financial institutions
Advisers, funds, broker-dealers, banks, lenders, digital-asset firms, and other financial-services teams.
Compliance and legal
Reviewers handling federal requirements and the state or product requirements relevant to their content.
Marketing and advisers
Internal teams, law firms, agencies, and consultants reviewing US regulated financial content.
Review your content.
Keep the decision human.
Review
Check existing content and return prioritised findings, cited obligations, suggested changes, and open actions.
Review submitted copy and documents, public pages, and static creative. The visual context of image ads stays beside the review.
- Paid and organic social
- Image ads and static creative
- Email and direct marketing
- Landing pages and public websites
- Sales literature and offering communications
- Affiliate, endorsement, and campaign copy
A clear scope.
A useful starting point.
Included in this model
- Investment-adviser marketing, testimonials, endorsements, and performance claims
- Broker-dealer, FINRA, municipal-securities, and municipal-adviser communications
- Registered-fund advertising and securities-offering communications
- Banking, deposit, insured-status, consumer-credit, and mortgage promotion overlays
- CFTC/NFA promotional-material and digital-asset perimeter routes
- Finance-specific ESG and sustainable-investing claims
- Selected state requirements, with scope to be confirmed
Outside this model
- A general supervision, books-and-records, or branch-examination audit
- Trading, best execution, portfolio-management, or suitability operations
- Entity licensing, registration, or a complete fifty-state survey
- AML, sanctions, financial-crime, or transaction-monitoring review
- A general privacy, cybersecurity, or operational-compliance audit
- Legal advice or the customer's required final approval
A clear finding.
Enough context to act.
This synthetic example shows how the flagged claim, cited basis, suggested change, and review status stay connected.
- Content
- Our advisory strategy consistently beats the market and protects clients in every downturn.
- Finding
- The absolute performance and protection claims are not visibly substantiated and could create a materially misleading impression.
- Cited basis
- SEC Investment Adviser Marketing Rule 206(4)-1
- Suggested change
- Remove the absolute claims or support them with the required methodology, periods, net and gross treatment, material assumptions, and balanced risks.
- Decision
- Customer reviewer action required
Sources and review
The relevant sources and coverage limits need to be clear before a Review. Findings support your authorised reviewer; they do not replace legal advice or final approval.
Availability
US Financial Promotions is in beta. Contact our team to discuss your content, coverage requirements and beta access.
See what US Financial Promotions returns on representative content.
Bring one real or representative asset. The result will show the findings, cited basis, suggested changes, and the record your reviewer would receive.