Why Compliance Review Matters

Even well-intentioned marketing language can create regulatory exposure if it includes unsubstantiated claims, omits key information, or misleads investors. Regulators are increasingly focused on advertising practices — from website content to social media posts — and the consequences of noncompliance can include fines, enforcement actions, and reputational damage.

My goal is to make compliance a strategic advantage. I approach every review with a business-focused mindset:

  • Proactive: I identify potential issues before materials are distributed, so you can avoid costly missteps.

  • Practical: My feedback balances legal requirements with commercial objectives, ensuring your message stays strong.

  • Comprehensive: I examine every detail — from disclosures and disclaimers to performance data, endorsements, and language.

  • Ongoing: I partner with clients over time, providing continuous guidance as regulations evolve and marketing strategies change.

What I Review

Atrivus offers detailed legal review and feedback across a broad range of client communications, including:

  • Offering Materials: Private placement memoranda (PPMs), subscription documents, investor decks, and term sheets.

  • Marketing & Advertising: Websites, brochures, pitch decks, whitepapers, email campaigns, and client presentations.

  • Broker-Dealer Communications: Sales scripts, marketing collateral, prospectuses, and client communications.

  • RIA Marketing Content: Performance advertising, testimonials and endorsements, marketing claims, and disclosures under the SEC Marketing Rule.

  • Digital & Social Media: Social media posts, digital ads, newsletters, and thought leadership content.

My Compliance Review Process

I make the review process clear, efficient, and focused on results. Every engagement follows a thoughtful process designed to protect your business while keeping your messaging effective:

  1. Initial Assessment: I conduct a full review of your materials to flag potential compliance risks, omissions, or prohibited language.

  2. Detailed Redline & Recommendations: I provide practical, actionable edits and explanations designed to align your content with regulatory standards.

  3. Regulatory Alignment: I ensure your materials are consistent with applicable FINRA, SEC, and state regulations — including FINRA Rule 2210, the SEC Marketing Rule, and Reg D advertising rules.

  4. Ongoing Support: As your business grows and your communications evolve, I remain available for regular reviews and updates.

Who I Work With

My compliance and advertising review services are designed to support a wide range of clients, including:

  • Registered Investment Advisers (RIAs): Guidance on marketing rule compliance, disclosures, and client-facing materials.

  • Broker-Dealers: Review of sales literature, public communications, and FINRA Rule 2210 compliance.

  • Fund Sponsors & Investment Managers: Review of offering documents, investor communications, and marketing strategies.

  • Fintech & Investment Platforms: Oversight of website content, digital marketing, and user-facing disclosures.

  • Family Offices & Syndicators: Support for investor updates, pitch materials, and ongoing communication practices.

FAQs

  • I generally recommend a comprehensive review of your core materials once a year and any time you make significant updates. For many clients, I provide ongoing review on a rolling basis as new content is produced.

  • Yes. I often assist clients with building internal workflows, checklists, and policies to streamline review and approval before materials are published.

  • I do. Atrivus can help respond to SEC, FINRA, or state regulator requests, including deficiency letters and comment responses.

  • Most materials can be reviewed within 3–5 business days. Expedited review is available for time-sensitive projects.

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