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ACA’s marketing and advertising review assistance allows your firm to significantly reduce the amount of time and resources devoted to the marketing and advertising review process. ACA’s skilled compliance professionals can step in during periods of high volume or assist your firm with enhancing collateral review workflows and protocols. Our marketing and advertising reviews are designed to help your firm identify potential business and compliance risks that could lead to problems with your key stakeholders: regulators, clients, and prospective clients.
ACA’s experienced regulatory compliance professionals have served as trusted advisers to the financial services industry since 2002. Our team includes former SEC, FINRA, FSA (FCA), NFA, and state regulators, as well as former CCOs and senior managers from prominent financial institutions and advisory firms.
Our marketing and advertising review specialists undergo rigorous and specialized training in connection with performing this service. In addition, the service is overseen by an ACA partner who previously served as an SEC examiner, as well as a former CCO for a prominent global investment firm.
ACA’s marketing and advertising review teams collaborate with your firm to review your marketing and advertising materials in order to identify potential trouble spots, provide guidance on regulatory expectations as well as industry norms, and make recommendations for improvement. We help your firm make informed decisions that satisfy the needs of both your compliance team and business development team.