Client’s Need:

• A large buy-side firm required Amba’s support to review over 200 sales and marketing documents every month for both its retail and institutional business.

Amba’s Solution:

• Amba deployed a team of compliance and paralegal professionals to review the sales and marketing material produced by the client, which includes fact sheets and advertising material in line with FINRA, the SEC, and requirements defined by other regulatory bodies.
• The team reviews approximately 200+ sales and marketing documents on a monthly basis. Turnaround time for each request is 24 hours.
• The review process includes communicating with the client’s compliance team for each iteration, which is completed within 48 hours of receipt. The client’s compliance team peruses these materials and closes the process with their sign-off.

Value/Outcome:

• Amba provides ongoing support for the client’s compliance team.
• The client leverages our compliance and legal teams to strengthen its internal compliance functions.
• The client’s compliance team achieves additional bandwidth, which is used to support other activities within the compliance department.