Compliance Review Services

Many broker/dealer compliance departments require marketing materials to be reviewed before they are sent to clients. And since newsletters are usually considered marketing material, this may affect you. To make this process easier, we offer a compliance review service.

We can tailor our compliance service to fit the requirements of your compliance department. One way we can handle it is to fax a mockup of the entire newsletter, including your masthead on the front page and your article on the back, along with the FINRA approval letter, to your compliance department. (We file every issue of Bulletin, Financial Briefs, Financial Concepts, Financial Notes, Financial Outlook, Financial Success, Financial Topics, 401(k) Update, and Retirement Insights with the FINRA.) We will then wait to print your newsletters until we receive approval from your compliance department. If your compliance department requests changes, we will notify you.

Some compliance departments, however, will not deal directly with us and require you to send all information to them. In those cases, we will still mock up the newsletter and fax it to you to be forwarded to your compliance department for compliance review. You will then need to notify us when you receive compliance approval.

To set up your account to include compliance review, you simply need to contact your customer service representative at 1-800-338-4329 and give her the name of your compliance contact and their fax and phone numbers. Please be aware that this may delay delivery of your newsletters, since we cannot control how long it will take for your newsletter to be approved by your compliance department.

Have any other questions about your newsletter or the services we provide? Feel free to contact us via phone at 1-800-338-4329, email at csr@icgnews.com, or chat online (the chat feature is in the bottom right corner of every page on our website).