Marketing Compliance Software Built for Financial Services

How does Simple help financial services marketing teams meet regulatory compliance requirements?

Simple Admation builds compliance into the marketing workflow rather than adding it as a final check. Approval chains are configured to route assets through the right stakeholders — compliance, legal, product, and marketing — in the correct sequence, with mandatory checklists that require reviewers to confirm specific criteria before they can approve. Every action is automatically recorded: who reviewed, when, what they said, what changed, and who signed off. When a regulator or internal audit team asks how a piece of marketing content was approved, the answer is a few clicks away — not a search through email threads. Teams in Australian financial services use this to meet ASIC’s marketing and advertising guidelines; the same workflow structure supports FCA requirements in the UK and SEC and FINRA obligations in the US. 

 

What is marketing compliance software and why do banks need it?

Marketing compliance software manages the creation, review, approval, and distribution of marketing content within a governed workflow. In Australian financial services, it ensures advertising and promotional materials meet ASIC guidelines, PDS obligations, and APRA governance expectations. The same structured approach applies to teams working under FCA rules in the UK or SEC and FINRA requirements in the US — replacing ad hoc email approvals with an auditable process that protects the organisation and its customers. 

 

Does Simple provide an audit trail for marketing approvals? 

Yes. Simple Admation automatically generates a complete audit trail for every marketing project — capturing every file version, reviewer comment, approval decision, and stakeholder action with timestamps. Nothing is manually logged; the record builds itself as work progresses. The trail is searchable and exportable, making it suitable for ASIC regulatory reviews and AFCA determinations in Australia, Financial Conduct Authority (FCA) audits in the UK, and SEC and FINRA examinations in the US. It also supports internal governance reviews and legal discovery. Version control ensures no revision is ever lost — teams can compare any two versions side by side to verify that specific changes were made between review rounds. 

 

Can Simple manage disclosure documents alongside campaign assets? 

Yes. Compliance and legal teams manage approved disclosure documents — including Product Disclosure Statements (PDS) in Australia and equivalent disclosure instruments in the UK and US — within the same workflow as creative assets. Project templates can require a current disclosure document to be linked before approvals can begin, preventing campaigns from progressing without confirmed disclosure compliance. 

 

Is Simple used by banks and financial institutions?

Yes — including Bank Australia, Latitude Financial, CFS, Everyday Insurance, Bupa, nib, CBHS Health, Police Health, and the NHS. 

 

How does Simple’s digital asset management support compliance in financial services?

In financial services, using an outdated or unapproved asset in a campaign isn’t just a brand problem — it can mean a disclosure breach or a misleading advertisement complaint. Simple Asset Manager addresses this with permission-controlled access to approved creative, so only authorised internal teams and agency partners can access, download, and use specific assets. Usage rights settings and expiry controls let compliance teams define when and how assets can be used. Download history gives a complete record of who accessed what and when — useful for internal audits and regulatory inquiries. When an asset is no longer approved or a product changes, it can be locked or removed from circulation immediately, preventing superseded creative from resurfacing in campaigns.