Business Compliance Tools

Financial promotion checklist

Financial promotion checklist is a free browser tool that produces check a frozen promotion against your exact instrument, audience, playbook literals and human assessments from case reference and your policy reference. Literal presence does not prove truth, fairness, balance, audience suitability or legal compliance.

Free. No account or payment needed.

Prepare your case and original evidence. All mechanical checks run in this browser.

Case and approved rules

Check a frozen promotion against your exact instrument, audience, playbook literals and human assessments.

Run case-sensitive literal inclusion/exclusion checks, join each rule to its dated source-linked assessment, and preserve contradictions, unsupported claims and unresolved applicability.

Original evidence files

Up to 20 files, 10 MB each and 25 MB total. Original bytes stay in this browser until explicitly selected for separately approved account saving.

No original files selected. Source references without retained originals remain unresolved.

Evidence source references

Record exact local file IDs, source locators and customer verification. An annotation does not authenticate its contents.

Original evidence source references (0)

Task-specific review records

Exact approved task rules (0)
Human promotion assessments (0)
Advanced exact JSON inputs

Literal presence does not prove truth, fairness, balance, audience suitability or legal compliance. Up to 10,000 promotion characters and 100 rules.

Sources and review boundary

  • Investment Adviser Marketing. Small Entity Compliance Guide

    The SEC guide addresses the Investment Advisers Act marketing rule 206(4)-1. Only qualified customer review selects applicability and exact playbook provisions. Literal occurrence does not establish truth, balance or regulatory approval.

Earlier generic workspace data remains separate. This dedicated editor does not overwrite historical purchases or earlier storage.

What does the financial promotion checklist produce?

Check a frozen promotion against your exact instrument, audience, playbook literals and human assessments.

Use the task-specific inputs and exact original evidence files above to prepare and review this tool in your browser. Inspect the complete named findings and scope limits before preparing the formal pack. Save unfinished work and retain the complete recovery ZIP. Customer applicability, approvals and evidence quality require responsible review.

What do you need before you start?

  • Define the selected source population and your exact policy.
  • Keep the original files and source pointers used for every finding.
  • Resolve missing inputs and inspect unresolved findings before export.

What information do you enter?

The released tool must ask only for information needed by this bounded task.

  • Case reference, organization, subject, responsible reviewer, preparation date and selected scope.
  • Your policy reference, version, approver, approval date and exact supporting source IDs.
  • Original file IDs, names, byte lengths and SHA-256 hashes with source locators, dates, custodians and verification assertions.
  • Jurisdiction
  • Instrument
  • Provision
  • Promotion Version
  • Promotion Text
  • Audience
  • Channel
  • Planned On
  • Rules rows / reference
  • Rules rows / provision
  • Rules rows / requirement
  • Rules rows / method
  • Rules rows / literal
  • Rules rows / audience
  • Rules rows / required
  • Rules rows / source IDs rows
  • Assessments rows / reference
  • Assessments rows / rule Reference
  • Assessments rows / outcome
  • Assessments rows / reviewer
  • Assessments rows / on
  • Assessments rows / rationale
  • Assessments rows / exact Quote
  • Assessments rows / source IDs rows

What you can download

Every result must identify its supplied facts, assumptions and unresolved items.

Free resultIncluded downloads

Enter your information, inspect the on-screen result and keep a browser backup.

Editing and direct copies of your entered information stay free.

  • Check a frozen promotion against your exact instrument, audience, playbook literals and human assessments.
  • Complete findings, exact task facts, mechanical counts and unresolved evidence gaps in Word, PDF, CSV and Excel.
  • A source manifest binds the approved policy, public method sources, original file hashes and every supplied source pointer.
  • A complete recovery ZIP retains unfinished drafts, prepared results and exact originals with a hashed delivery manifest.

These supported outputs are free. No checkout is required.

Fictional review report (PDF). Editable review (DOCX). Complete fictional pack (ZIP). Requires tailoring and responsible review. Samples use the finalized renderer.

How does the financial promotion checklist work?

  1. 1
    Define the selected task

    Check a frozen promotion against your exact instrument, audience, playbook literals and human assessments.

  2. 2
    Record exact task facts

    Run case-sensitive literal inclusion/exclusion checks, join each rule to its dated source-linked assessment, and preserve contradictions, unsupported claims and unresolved applicability.

  3. 3
    Inspect complete findings

    Review source links, exact calculations and every unresolved finding.

  4. 4
    Keep recoverable work

    Save unfinished work and exact original bytes in this browser. A complete ZIP restores the accepted workspace and original files after integrity checks. Original checkpoints and purchased archives remain separate. Restore grants no payment or execution authority. Reprepare after rejected recovery before checkout.

  5. 5
    Prepare the completed pack

    Eight core files, one member per retained original, plus any method-generated chart, synthetic data, approved draft or reporting artifact. The real component calculates the exact prepared count. Downloads are free.

Common questions

What information does the financial promotion checklist need?

Enter case reference, organization, subject, responsible reviewer, preparation date and selected scope; your policy reference, version, approver, approval date and exact supporting source IDs; original file IDs, names, byte lengths and SHA-256 hashes with source locators, dates, custodians and verification assertions; jurisdiction; instrument. Define the selected source population and your exact policy.

What does the financial promotion checklist produce?

Check a frozen promotion against your exact instrument, audience, playbook literals and human assessments. Complete findings, exact task facts, mechanical counts and unresolved evidence gaps in Word, PDF, CSV and Excel. A source manifest binds the approved policy, public method sources, original file hashes and every supplied source pointer. A complete recovery ZIP retains unfinished drafts, prepared results and exact originals with a hashed delivery manifest. Review unresolved findings and limitations before use.

Who makes the final decision?

A responsible person reviews the result. Literal presence does not prove truth, fairness, balance, audience suitability or legal compliance. Up to 10,000 promotion characters and 100 rules.

Is this tool free?

Yes. The on-screen result and listed downloads are free. No checkout is required. Keep local backups and review the stated method and limits.

Can I use the financial promotion checklist for this task?

Review against the customer’s jurisdiction-specific playbook. Literal presence does not prove truth, fairness, balance, audience suitability or legal compliance. Up to 10,000 promotion characters and 100 rules.

What still needs review?

Literal presence does not prove truth, fairness, balance, audience suitability or legal compliance. Up to 10,000 promotion characters and 100 rules.