Electronic
Communications
Reviews

An effective email review program is critical for preventing, among other things, misuse of material non-public information by an adviser or an adviser’s employees. ACA specializes in conducting thorough reviews of electronic communications to help firms meet their regulatory obligations in this area.

HOW WE CAN HELP

 

Our search specialists and regulatory consultants tailor a review program that targets the activities and regulatory risks of greatest concern to your firm. In performing these reviews, we:

  • tailor search terms and focus areas specifically to your firm,
  • escalate potential issues for review and resolution to your firm’s Chief Compliance Officer, and
  • provide timely standardized reports of review results.

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.