Compliance Resources
Market ethically, legally and protect your business.
Quick Start
Read and understand the Equity IB marketing guidelines
Review all existing marketing materials for compliance
Add required risk warnings to all public-facing content
Ensure you never guarantee income or specific returns
Check any new campaign with your account manager before launching
Responsible Financial Marketing
Essential guidelines for marketing financial services responsibly — what to say, what to avoid and how to protect yourself.
Disclosure Requirements for IBs
Understand the disclosure obligations that apply to your IB marketing — risk warnings and regulatory requirements.
Risk Warnings and Disclaimers
How to correctly include risk warnings in your marketing materials — with template language you can adapt.
Ethical Lead Generation for IBs
Principles for generating IB leads ethically — avoiding misleading claims and acting in clients' interests.
Data Privacy Basics for IBs
Practical introduction to data privacy for IBs — covering lead data collection, storage, use and GDPR basics.
Brand Consistency and Compliance
Maintain consistent, compliant branding across all marketing channels with clear usage guidelines.
Frequently Asked Questions
Access All Compliance Resources
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