Marketing compliance software for financial services
Financial-services marketing carries real accountability. In the United States, communications with the public are shaped by FINRA Rule 2210 and the SEC marketing rules. In Australia, financial-product advertising falls under ASIC oversight through the Corporations Act 2001 and ASIC regulatory guides.
Cohiva Campaign does not replace your legal review, and it does not give legal advice. What it does is enforce the review you already run. Moving a campaign to live is rejected at the API with HTTP 422 and a list of the failed items until every checklist item passes.
On pass, Campaign generates a timestamped compliance certificate and writes the decision to an append-only audit. Approvals follow a clear boundary where the author is not the approver, so a reviewer cannot wave through their own work.
Multi-stage approvals support internal reviewers and external email-only guests, which suits firms that send drafts to outside counsel. Every action records the actor, the time, and the before and after values, ready to export for a regulator review.
In practice, a financial-services marketing team configures the checklist its compliance function defines, such as a documented review against FINRA Rule 2210 and the firm's own supervisory procedures, and the gate then applies that same checklist to every campaign at the API. A reviewer who tries to launch before the checks pass sees the list of outstanding items rather than a campaign going live, and the senior approver gets an independent decision because the author cannot sign off their own work. Months later, when a question arises about how a campaign cleared review, the answer is a single exportable record rather than a search through inboxes.
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Frequently asked questions
- What is FINRA Rule 2210?
- FINRA Rule 2210 governs communications with the public by FINRA member firms in the United States, setting standards for content, approval, and recordkeeping. Campaign helps a team run and record that approval process; it does not provide legal advice.
- Does Campaign guarantee my marketing is compliant?
- No. Campaign enforces the checklist your compliance team defines and records every decision. It helps you comply and keeps an audit trail, but it does not guarantee regulatory compliance.
- How does the compliance gate work?
- When someone tries to move a campaign to live, the API checks the campaign against your checklist. If any item is unmet, the request is rejected with HTTP 422 and the failed items are returned. It can never be bypassed from the client.
- Can outside counsel review without an account?
- Yes. A stage can include external email-only guest approvers who review and sign off without a Campaign account.
- Is the audit trail exportable?
- Yes. A campaign's full audit history exports to PDF for a regulator or internal review.
Related
Put a non-bypassable gate behind every launch
Cohiva Campaign rejects an unchecked go-live at the API and keeps an append-only audit. Try it free.
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