Section E · Compliance

For FINRA- and SEC-regulated clients

Five steps, one paper trail.

Our process is built so your compliance team reviews a clean, sourced draft and keeps a complete record of what was approved.

The five-step review

1Assign2Report3Edit & fact-check4Client compliance reviewSIGN-OFF5Publish & archive
  1. Step 1

    Assign

    Editor sets the reporting question, sources and deadline. Regulatory flags noted up front.
  2. Step 2

    Report

    Interviews recorded, documents collected, every number logged to a source.
  3. Step 3

    Edit & fact-check

    Line edit, then an independent fact-check against the sourcing memo.
  4. Step 4

    Client compliance review

    Your CCO or reviewer approves the final draft. Changes loop back through edit.
  5. Step 5

    Publish & archive

    Published version, drafts, approvals and sources exported to your archive.

Why the order matters

Compliance officers lose hours when they receive drafts that are still changing. We finish reporting, editing and fact-checking before a draft reaches your reviewer, so their review covers the version that will publish. Edits after approval go back through review; nothing is changed quietly.

Recordkeeping

For registered investment advisers, the SEC Marketing Rule (Rule 206(4)-1) governs advertisements, including performance, testimonials and endorsements, and the books-and-records rule (Rule 204-2) requires advisers to keep copies of advertisements and supporting records. For broker-dealers, FINRA Rule 2210 sets content standards and approval requirements for communications with the public, and SEC Rule 17a-4 sets retention requirements.

We help you meet those obligations by delivering, for every published piece:

  • The final approved version, with the approver’s name and date
  • The sourcing memo and fact-check log that support each factual claim
  • Every prior draft and reviewer comment
  • Publication date, URL or distribution list, and any later corrections

Files are exported to your archive or your compliance vendor in the format you choose. Your firm remains responsible for approval and retention; we do not give legal or regulatory advice.

What our editors flag before your review

  • Performance figures without periods, net-of-fee presentation or required disclosures
  • Anything that reads as a testimonial or endorsement
  • Predictions, guarantees and superlatives (“best,” “safest”)
  • For digital asset clients: yield language, missing risk disclosures, and claims about registration status