Designed for compliance and marketing teams, a secure solution to support the evidencing of Financial Promotions material, with configurable workflow and approvals between departments and individuals.

financial promotions

Purpose built and designed for the job

Regulated firms need to ensure that their marketing material or any content they produce that could be interpreted as advice is clear, fair and does not mislead.

To achieve this, they need robust compliance review processes for their marketing materials, so they can capture the details of the review, including comments and changes, and can evidence and audit the process historically. The Financial Promotions module is designed specifically to do this and supports the entire process, end to end. 

Review, approval, tracking and evidence

centralised review process

The Financial Promotions module is accessible by your marketing teams, by compliance and other authorised users, and even by external advisers who perform reviews on your behalf.

It enables compliance to operate a common review service, managing their workload through a single dashboard. Individuals or teams can easily submit financial promotions for review. Or can submit any other type of material that needs to go through a robust auditable review process. 

feature list

Financial Promotions features

Easy Submission

Supports all document formats, including Word, PDF, images, videos, etc. and allows the submission of any number and type of document as part of a single review request.

Centralised Workflows

Centrally record and manage all financial promotions review activity and streamline the review process with automated workflows and alerts.

Robust Evidence & Audit Trails

Easily view any review request, including the version history for each document, showing who submitted the request, reviewer’s comments, and who made them and when.

Status Tracking

For each document the system will track the status of the review process, including comments made by the reviewer and any changes made to the document as a result.

Filing & Monitoring

All approved requests are automatically filed and retained in a central literature library simplifying your compliance monitoring – the library is the record of evidence for every review, containing the documents, their revision history and all approver comments. .

Golden Copy

Automatic population and management of a central approved literature library providing employees with a single golden source of approved literature.

Email Alerts

Automated email alerts when new documents are submitted for review or reviewer comments are made.

External Access

If you work with external Compliance Consultants who review and approve your content then Financial Promotions can be configured to allow them controlled access to your information.

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Financial Promotions solution brief

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Purchase and license terms

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