Getting Started with the OOTB US Asset Management Rules Library

Navigating the stringent regulatory landscape of US financial services marketing can be incredibly demanding. To help your firm streamline campaign approvals and confidently mitigate regulatory risk, we offer customers an Out-of-the-Box (OOTB) US Asset Management Rules Library. This guide explains what the library includes, how it drives value for your marketing operations, and the steps to get started.

What is the OOTB US Asset Management Rules Library?

The OOTB US Asset Management Rules Library is a pre-configured, standardized suite of compliance checks built directly into our platform. Rather than building your own compliance parameters from scratch, this library provides a foundation of preset, best practice rules based on the latest US financial marketing regulations, including the SEC Marketing Rule and applicable FINRA communications standards.

When applied to your campaigns, the library automatically checks your marketing collateral, ranging from pitchbooks and fact sheets to digital ads and social media posts, for prohibited promissory language, mandatory risk disclaimers, and formatting requirements, flagging potential violations before they go live. For a complete, detailed breakdown of every rule, condition, and regulatory mapping included in this package, please reach out to your account manager.

The Value to Your Team

Implementing this OOTB library provides several immediate advantages for your marketing and compliance teams:

• Accelerated Time-to-Market: Skip the tedious process of manually configuring complex compliance logic for financial promotions. Our pre-built library allows you to deploy compliant campaigns significantly faster.
• Reduced Regulatory Risk: Built and maintained by our in-house rules experts, the library helps safeguard your content against costly SEC or FINRA fines by catching potential violations, such as missing performance disclosures, early in the drafting process.
• Operational Efficiency: Free up your legal and compliance teams from manual reviews of standard boilerplate. By automating the first line of defense, your team can focus on high-level strategy and complex edge cases.
• Always Up-to-Date: As regulatory guidance shifts, the foundational logic within the library is designed to adapt, giving you peace of mind that your marketing stays aligned with current standards.

How to Set Up the OOTB US Asset Management Rules Library

Because financial compliance is highly specific to each firm's risk profile, asset classes, and target audience (e.g., retail vs. institutional investors), activation requires a brief consultation to ensure the rules are perfectly tailored to your instance.

If you are interested in setting up the OOTB US Asset Management Rules Library for your team, please contact your Account Manager.