Glossary · Marketing Review
What is Marketing Review?
Marketing Review is an automated compliance layer that scans advertising and marketing materials — decks, one-pagers, websites, LinkedIn posts, emails — against SEC Rule 206(4)-1, FINRA Rule 2210, and equivalent rules in the UK, Canada, and Australia. FIN Group delivers Marketing Review through ADScanner, part of the Compliance OS.
The six layers
Line-by-line scan
Every sentence in a marketing piece is checked against SEC Rule 206(4)-1, FINRA Rule 2210, FCA financial promotions, CSA and ASIC rules — with the specific rule cited on each finding.
Risk detection
Missing disclosures, prohibited testimonials, misleading claims, hypothetical performance, and predictive language are flagged with severity and suggested fix.
Multi-jurisdiction
One upload — five jurisdictions scanned in parallel. Firms marketing across the US, UK, Canada, and Australia get one report, not five.
Audit-ready report
Each scan produces a signed PDF with findings register, rule citations, and reviewer notes — usable as evidence in exam and annual-review files.
Compliance overlay
Marketing Review is wired into the Compliance OS: findings roll up to the CCO dashboard and into annual reviews under Rule 206(4)-7.
URL + Zapier + API
Scan live web pages by URL, trigger scans from Google Drive or Dropbox uploads, and route findings to Slack, Teams, or your CRM.
Why not just use ChatGPT or Claude?
AI can draft the first review. FIN Group makes it a supervised, documented and defensible review.
An exam-ready record
A chat transcript is not a compliance record. Each review produces a dated report with findings, rule references, risk ratings and reviewer notes retained in your file.
Consistent review criteria
General chatbots can answer the same prompt differently or miss and invent issues. Every piece is checked against the same rule set and high/medium/low risk ratings, then refined by a reviewer.
Your firm's context
A chatbot doesn't know your Form ADV, fees, referral relationships or prior findings. RegReview and ADScanner compare marketing against what your firm has actually disclosed.
Human sign-off
On Done With You and Done For You delivery, a FIN Group consultant reviews the final piece. Your firm still approves and remains responsible for its marketing.
A supervised workflow
Draft, revise, approve and retain in one place, with findings feeding the annual review — instead of copy-paste between untracked tools.
Data handling under written terms
Pasting client stories, performance or names into a personal AI account can create privacy and vendor-oversight issues. Our platforms operate under written terms and a published sub-processor list.
Model and product names appear for identification only. FIN Group is model-agnostic; no affiliation, endorsement or integration is implied. AI-assisted findings require human review; no tool guarantees regulatory compliance.
FAQ
What is Marketing Review?
Marketing Review is an automated compliance layer that scans advertising and marketing materials — decks, one-pagers, websites, LinkedIn posts, emails — against SEC Rule 206(4)-1, FINRA Rule 2210, and equivalent rules in the UK, Canada, and Australia. FIN Group delivers Marketing Review through ADScanner, part of the Compliance OS.
How is Marketing Review different from a compliance review by a consultant?
A consultant reads the piece manually and returns comments hours or days later. Marketing Review returns a line-by-line report in seconds with the specific rule cited on each finding, plus a suggested fix. FIN Group consultants still sign off on final pieces — Marketing Review just does the first (and heaviest) pass.
What regulations does Marketing Review cover?
SEC Rule 206(4)-1 (the Marketing Rule), FINRA Rule 2210, FCA financial promotions rules (UK), Canadian CSA marketing rules, and Australian ASIC guidance. All five jurisdictions are scanned in parallel on a single upload.
Is Marketing Review a substitute for a Rule 206(4)-1 review?
It's the automated first pass. FIN Group pairs the automated scan with a licensed reviewer for firms that need a signed sign-off. Firms in DIY tiers use ADScanner directly; firms on Done With You or DFY delivery modes get consultant sign-off included.
Is "Marketing Review" a real category?
"Marketing Review" is a term used by FIN Group and Roberson Ventures Group, Inc. to describe ADScanner — the marketing-review layer of the Compliance OS. It complements RegReview (compliance workflows) and InvestPrep (private capital back office).
Why not just use ChatGPT or Claude to review our marketing?
A general AI chatbot can give a useful first read. What it doesn't provide is a retained, dated review record, consistent criteria, knowledge of your firm's disclosures, an approval workflow, or human sign-off. FIN Group's Marketing Review adds those layers. AI-assisted findings still require human review; no tool guarantees regulatory compliance.
Is it a problem to paste client information into a public AI chatbot?
It can be. Client names, stories or performance data shared with a personal AI account may raise privacy, confidentiality and vendor-oversight concerns. Firms should follow their own AI use policy and vendor due-diligence process.