Compliance

Built for firms
that answer to regulators.

The reason most advisory firms don't have a video cadence is compliance friction, not creative friction. Our workflow is built specifically to move through regulated review without drift.

Regulatory frameworks we work within

The rules, and what
we do about them.

We are not your compliance counsel. But we do produce video with regulated workflows baked in — so your compliance team reviews finished-form content, not cleanup.

SEC Marketing Rule (17 CFR 275.206(4)-1)

US Registered Investment Advisers (RIAs)

Testimonials, endorsements, and hypothetical performance are flagged at the script stage. Required disclosures are pre-placed in the video and captions. Your compliance team approves both script and final cut before delivery; nothing goes live without dual sign-off.

FINRA Rule 2210

US broker-dealers and their associated persons

Videos are classified per your compliance designation (retail or institutional communication). Pre-approval workflow is built into the delivery gate. Required disclosures and corporate logos are placed per your firm's template. We deliver in standard formats (MP4, SRT captions, text scripts) that your existing records-retention platform accepts for storage.

MiFID II + FCA COBS (UK/EU)

UK and EU investment firms, including asset managers and advisers

Risk warnings, past-performance disclaimers, and target-audience suitability statements are incorporated at the script stage for financial promotions. Fair, clear, and not misleading standard is the default framing.

State insurance / advertising rules

Insurance producers, hybrid advisors

Product-specific language, guarantees, and illustrations are routed through your compliance lead. State-specific disclosures can be burned into the video or rendered as on-screen text for state-by-state variants.

Solicitor / attorney advertising rules

Law firms, legal advisories

Jurisdictional attorney-advertising disclaimers, "prior results" standard language, and solicitor designations per state bar rules. Disclaimers are incorporated into the script based on your firm's filing jurisdictions — we work from your counsel's standard language, not our own.

Safeguarding & consent policies

Non-profits, education, health-adjacent orgs

We follow your internal consent and safeguarding policies. Footage identifying beneficiaries, students, or patients requires written consent on file. Anonymization (silhouettes, voice modulation, pseudonyms) handled in-house where required.

Review workflow

Two gates,
nothing ships in between.

Every video runs through explicit script approval and final-cut approval. Your compliance team sees what will ship, not a fait accompli.

Script approval

Before any production work starts, the full voiceover script is shared in editable form for compliance review. Typical turnaround: same-day approval or revisions.

Disclosure placement

Required disclosures are pre-placed in the script at your firm's standard locations (intro, outro, or burned-in overlays). Disclosures are never an afterthought.

Final cut approval

Finished video shared before it's marked delivered. Revisions are turned around same-day when needed.

Archive bundle

Every video ships as a single package containing its script, source material, voiceover recording, final cut, and approval record. Delivered to your firm so your records-retention system holds the full set.

Amendments

If a video is ever amended post-publication, we preserve the original alongside the revised version so your retention record shows both — useful if a regulator ever asks what was said when.

ReportReel is not a law firm and does not provide legal or compliance advice. Regulatory citations on this page are provided for context. Final responsibility for the compliance status of any communication rests with your firm's compliance team.

Compliance FAQ

What compliance
teams ask.

Will our compliance team need to learn new software? +

No. Script review happens over email or your preferred document tool. Final-cut review is a link — no login, no portal. We adapt to your existing workflow, not the other way around.

Can you produce video that meets multiple jurisdictions? +

Yes. Common pattern: one master cut for the home jurisdiction plus region-specific variants with adjusted disclosures (e.g., US master, UK variant with FCA disclaimers). Variants are priced as add-ons.

How are videos archived? +

We deliver a single package per video — the script, source material we worked from, the voiceover, the final cut, and the approval record. Your firm archives the package in whatever records-retention system it already uses.

What if a regulator requests records? +

Because every video ships with its script, source, approvals, and final cut bundled together, your compliance team hands the regulator the bundle. We can re-send any past bundle you can't locate.

Do you sign NDAs? +

Yes. NDA is in place before any material is shared. Most partners route our standard NDA through their counsel; we also accept bilateral NDAs written on your side.

Want to loop in compliance?

We routinely walk firm compliance teams through our script-review, archive, and amendment-log workflow before any engagement begins.

Schedule a walkthrough