Fully-integrated marketing technology. solutions for Broker/Dealers and their. Representatives from the leaders in. Financial Services Marketing.

Transcription

1 Fully-integrated marketing technology solutions for Broker/Dealers and their Representatives from the leaders in Financial Services Marketing.

2 The first fully-integrated advertising review system, marketing communications library and document imaging compliance solution. MarketingLibrary technology allows both Compliance and Representatives the ability to have it all in a singlelogin, user-friendly web-based system. THE DEFINITION OF FULL INTEGRATION MarketingLibrary is a one-stop, comprehensive solution for web-based Advertising Submission and Review, Record Retention, Direct Mail, , and Document Imaging. DEVELOPED BY AN INDUSTRY VETERAN Peter Montoya, the leader in financial services marketing, has been a trusted name in the industry for over a decade. He has helped thousands of Financial Professionals develop custom marketing plans, increase efficiency and boost sales. Through the years, Peter began to recognize the need for integrated technology to help streamline Compliance, automate marketing and build higher standards of client service. To this end, he launched his MarketingLibrary as a central hub from which Compliance and Representatives can work together with less effort to increase productivity, cut costs, and improve profitability. Fully-integrated marketing communication library Advertising review system Direct mail surveillance Simple CRM & electronic blotter

3 MarketingLibrary provides the marketing resources that Representatives want with the Compliance review capabilities that Broker/Dealers need. Marketing and Communication Library (with Compliance Review) An extensive online library of marketing messages that integrates seamlessly with compliance offices for faster review and approval. Over 1500 marketing messages available for download, including client letters, economic updates, prewritten articles, invitations and more all written by seasoned financial copywriters. More messages are added weekly or even daily as driven by critical national financial news and events. Online Advertising Review System Interacting seamlessly with the Marketing Library, Compliance Officers are given instant access to one-click review requests and the ability to change, decline or approve content quickly with documentation, instructions and restrictions. May be privately branded with your company identity. Direct Mail Delivery with Compliance Review and Surveillance A virtual post office with built-in compliance surveillance. Representatives may automatically send and track direct mail with ease. Complianceapproved letters, newsletters, postcards and greeting cards can be sent directly from the system. Addressing, stuffing, sealing, sorting and mailing is done automatically, with just a click of the mouse. All correspondence is reviewed using our keyword tracker feature which scans for prohibited language. Simple CRM and Electronic Blotter The built-in functionality of the internal CRM allows upload, management and tracking of contacts, along with automatic campaigns which allow Representatives to set up multiple and future mailings with ease. When Representatives use the Electronic Blotter to capture meeting and phone notes, compliance is provided with a complete picture of all client communication.

4 Electronic Record Keeping and Retention Consistent with Rules 17a-3, 17a-4 MarketingLibrary seamlessly integrates Representative communication into individual or aggregated reports. Extract reports by a Compliance Officer, Representative or OSJ/Branch Manager with just a few mouse-clicks. Easily download reports showing: Messages submitted for review Messages downloaded for distribution Direct Mail, or Phone Calls made to individual contacts Our progressive archiving and compliance solutions meet the stringent recordkeeping requirements of the financial services industry, including: SEC Rule 240 (17a-3, 17a-4), SEC Rule 204-2, FINRA Rule 3010, FINRA Rule 3110, FINRA Notice to Members 98-11, FINRA Notice to Members 03-33

5 Marketing and Communication Library The client letters, articles and marketing your Representatives need, at their fingertips with Compliance review and/or approval and documentation. Direct Mail Delivery Automatically sends both and direct mail for your Representatives, with built-in CRM for client and contact management. Virtual Office Audit and Ongoing System Surveillance Quickly and easily review, change, add restrictions, expiration dates, approve or decline documents. Track Representatives, Message Usage, and run reports. Minimize the need for costly, time-consuming in-person compliance audits by virtually reviewing all the communication for any given Representative including: Meeting Notes, Phone Notes, Communication, Direct Mail Communication, Newsletters. Review Representatives Client Communication activity from any Internet-connected computer in the world. Everything you need to efficiently oversee and track usage is included in an easy-to-navigate, user-friendly interface.

6 A Safe and Compliant Environment MarketingLibrary employs electronic storage media on WORM (electronic records stored in nonrewriteable, non-erasable format) media and can provide representation that the storage medium meets specified conditions of Rule 17a-4. All electronic records are arranged to permit immediate retrieval of any record that may be requested. Retention Period: Each Broker/Dealer may determine the period of their record retention. All records (logs and messages) may be retained for 1 year, 3 years, 5 years, 6 years or indefinitely. Pricing Structures The entire system is available at low (or no) cost to the Broker/Dealer. Choose the pricing structure that will best suit your needs. ENTERPRISE PRICING Broker/Dealer s monthly payment is determined by the number of Representatives who subscribe to the system and all setup fees are waived with a one-year contract. Speak to a MarketingLibrary team member today or contact us for detailed pricing information. BEST EFFORTS PRICING Representative s monthly subscription rate is determined by the amount of support provided by the Broker/Dealer. This discounted rate is not contingent upon any minimum number of Representative subscribers. Located in Beautiful Orange County, California phone web 02_ ML _ B_1109.indd