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CONTROL OF MARKETING MATERIALS
FIRMA NATIONAL CONFERENCE APRIL 15 – 19 PHOENIX, AZ
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Deborah Austin, CTCP, CFSA
26 years Financial Services Internal Audit Risk Management Fiduciary Compliance Fiduciary Compliance Manager – PNC Financial Services Group. Senior Audit Manager – PNC Financial Services Group Risk Manager – Glenmede Trust Audit Officer – Glenmede Trust Audit Manager – Security Savings Bank
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Marketing Materials Defined
Product/Service Descriptions Client Presentations Announcements Advertisements Success Stories Statement Inserts/Messages Market Commentary Fee Schedules Sponsorships Invitations Telemarketing scripts Product/Service Descriptions – new, enhanced or changes Client Presentations - Announcements – Staff additions, staff changes, office relocations, give-a-ways Billboards/Advertisements -
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Delivery Methods Print Electronic
Newspaper, magazines, trade journals, pamphlets, booklets, billboards, direct mail pieces Electronic Radio, Television, Webcasts, Podcasts, Intraweb, Internet
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Review Process Submitter Approval Medium used
Identify Keep limited Approval Department approval Medium used Target Markets Identified Business Markets running the Materials Disclosures/Consents Compliance and/or Legal Review
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Compliance Review Photos – get consent
Do not use forward looking statements Make no promises Question the accuracy of facts Avoid use of superlatives such as “the best”, “the largest”, “the first”, “the only” unless you can substantiate accuracy of the statement Make sure that the proper entity providing the product or service is being referenced (eg., the holding company does not provide brokerage services) Service level agreement – agree to a turnaround time.
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Sample Photo Consent PERMISSION
I hereby give The Invest Right Financial, its affiliates, assigns, and its agents (collectively, “Invest Right”), a full release, permission and consent to use the following: My name and other identifying information about me (employer, position/title, etc.) Any photograph, videotape footage, or other reproduction of me Any statements or quotes made by me in connection with any photograph, videotape or other reproduction of me I agree that the above items (“Items”) may be used, in whole or in part, by Invest Right, for any business purpose including but not limited to publication, through any media, and without compensation. I release and discharge Invest Right from all claims arising from such use and I waive any right I may have to inspect or approve the finished products or other copy that the above items may be used in connection with. I further understand that all such Items are and shall remain the property of Invest Right. Signed __________________________________ Date _____________________________
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Disclosure Use copyright Basic Disclosure
©2007 The Invest Right Financial. All rights reserved Basic Disclosure The Invest Right Financial provides investment and wealth management, fiduciary services. Invest Right Financial does not provide legal, tax or accounting advice. Investments: Not FDIC Insured. No Bank Guarantee. May Lose Value.
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Disclosure Cont. Newsletter or Article Authored by Third-Party (Including Reprints)* This material is intended to provide readers with useful information. It does not constitute the provision by The Invest Right Financial of legal, tax, accounting or investment advice to any person or a recommendation to buy or sell any security or adopt any investment strategy. Invest Right is not responsible for the accuracy of the information contained in this material. Any case, ruling, law or regulation discussed should be independently reviewed in its entirety before it is relied on in any particular situation. The Invest Right Financial provides investment and wealth management, fiduciary services, FDIC-insured banking products and services and lending and borrowing of funds through its subsidiaries, Invest Smart Financial, which is a FDIC Member. Invest Right does not provide legal, tax or accounting advice. Investments: Not FDIC Insured. No Bank Guarantee. May Lose Value.
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