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The Marketing Rule sets forth principles-based general prohibitions that apply to all advertisements disseminated by a Registered Investment Advisor (RIA). CapIntel's innovative proposal generation builder includes a range of controls to assist RIAs in meeting the key requirements outlined in the Marketing Rule.
James Rockwood, Founder and CEO of CapIntel, said, "Financial advisors rely on investment presentations to ultimately build the foundations of trust critical to client relations. CapIntel's customers and partners can rest assured that tailored proposals deliver knowledge and perspectives while staying within the parameters of regulatory requirements. These controls ensure compliance, as financial professionals across a firm create investment presentations that adhere to the rule's provisions while promoting transparency."
