Document Review

Conflicting and frequently changing regulations can be difficult to monitor and implement, so it's important to ensure that each of your policies and related tools contain the correct information. Did you update the document correctly and in every occurrence? Does your advertising contain the proper disclosures? Guessing can lead to major issues on your next exam.  

In addition to advertising and marketing campaigns, we also review:

  • Policies
  • Procedures
  • Disclosures
  • New Products

Our reviews address all areas of regulatory and consumer compliance, highlighting discrepancies and providing recommendations and best practices. Each Compliance Alliance in-depth review includes an initial inspection by an attorney or compliance specialist followed by a final screening by a former regulator.

Compliance Alliance members receive an unlimited amount of reviews. Upon submitting a document for review, you will receive a Review Order Form stating the documents submitted, as well as their submission and expected completion dates. This form is simply a receipt for your records. Our reviews have a three-business day turnaround. For documents larger than 10 pages, we ask that you allow us five business days. If you require a faster turnaround, please state so in the initial review request and we will do our best to meet that requirement.