Marketing and Advertising
Reviews

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.

    OUR TEAM & SERVICES

     

    ACA’s marketing and advertising review specialists undergo rigorous and specialized training in connection with performing this service. The service is overseen by an ACA partner who previously served as an SEC examiner.

    Timely, Actionable Guidance

    ACA’s marketing and advertising review team collaborates 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.

    Our support can include:

    • the development of review protocols that involve both compliance departments and business development departments;
    • reconciling performance claims against approved track records;
    • discussing frequently identified issues and associated solutions;
    • providing training about relevant regulations to compliance and marketing professionals; and
    • documenting review efforts and statistics.

    WHAT OUR REVIEWS COVER

      Materials Covered

      • pitchbooks;
      • marketing collateral;
      • presentations;
      • limited partner meeting materials;
      • press releases;
      • email marketing;
      • stock DDQ responses;
      • tailored RFP responses; and
      • social media marketing.

       

        What We Focus On

        • performance claims;
        • treatment of fees;
        • benchmark usage;
        • performance portability;
        • superlatives and qualitative claims;
        • third-party rankings;
        • testimonials;
        • past specific recommendations;
        • public offerings of private funds; and
        • accompanying disclosures.

        EFFICIENT REVIEWS USING COMPLIANCEALPHA®

         

        Your firm can increase the speed and efficiency of marketing and advertising reviews by using the Marketing and Advertising Review Solution (MRS) module of ComplianceAlpha, ACA’s compliance program management software. The MRS module allows your firm to easily submit materials directly to ACA for review and feedback, track submissions and visualize your workload on a robust dashboard, run metric reports, and approve and archive materials. ACA can assist your firm with implementing a tailored review management workflow that meets your business needs.

          DEMONSTRATE A STRONG CULTURE OF COMPLIANCE

           

          ACA provides detailed feedback, regulatory context, and targeted training to help compliance and business development professionals work together towards common goals. We help your firm refine your review processes, and you can use ACA’s feedback and reporting to help demonstrate a proactive compliance program and a strong culture of compliance to examiners.

            REQUEST MORE INFORMATION

             

            For more information about ACA's compliance support solutions, please contact Sean McKeveny at (412) 253-6330 or Joshua Broaded at (412) 253-6330.