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.
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 Managed DIY 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).