Marketing Compliance for Financial Services

Marketing Compliance for Financial Services Is a Big Deal: Compliance Trends

The financial services industry is subject to strict regulations, so marketing compliance for financial services is a big deal, as Hanzo notes in this latest post!

The post (Why Marketing Compliance for Financial Services Is A Big Deal, written by Sarena Regazzoni and available here) discusses how, according to a comprehensive market analysis conducted by Statista, digital advertising expenditures in the financial services sector in the United States surged to a staggering $21 billion in 2020. This impressive figure is expected to experience further growth, reaching an estimated $30.75 billion by the end of 2023.

Digital advertising enables financial services companies to maintain a consistent online presence, enhancing brand visibility, trust, and credibility. Additionally, digital marketing provides a valuable platform for sharing educational content that simplifies complex financial topics, positioning the company as a reliable source of information.


However, the financial services industry is subject to strict regulations to ensure fairness, protect consumers, and maintain financial stability. Organizations must comply with various regulations from bodies including the Consumer Financial Protection Bureau (CFPB), the U.S. Securities and Exchange Commission (SEC), and the Financial Industry Regulatory Authority (FINRA) among others, related to consumer protection, suitability, and investment. Failure to comply with regulations can have serious consequences, including regulatory penalties and damage to a company’s reputation.

So, why is marketing compliance for financial services such a big deal? And how can financial services companies demonstrate marketing compliance? Find out here! It’s just one more click! You cannot deny your need to comply! 😉

So, what do you think? Are you concerned about compliance with marketing regulations? Please share any comments you might have or if you’d like to know more about a particular topic.

Image created using Microsoft Bing’s Image Creator Powered by DALL-E, using the term “financial services and marketing”.


Disclosure: Hanzo is an Educational Partner and sponsor of eDiscovery Today

Disclaimer: The views represented herein are exclusively the views of the author, and do not necessarily represent the views held by my employer, my partners or my clients. eDiscovery Today is made available solely for educational purposes to provide general information about general eDiscovery principles and not to provide specific legal advice applicable to any particular circumstance. eDiscovery Today should not be used as a substitute for competent legal advice from a lawyer you have retained and who has agreed to represent you.

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