Technology for your Compliance and Marketing Teams - Demonstration of ComplianceAlpha's Marketing Review Solution

Date: 
June 14, 2017 -
11:00 am to 12:00 pm
Type: 
Webcast
Division: 
Investment Adviser ACA Technology
Speaker(s): 
Dan Campbell, Managing Director at ACA Compliance Group; Dileep Bhat, Managing Director ACA Technology Solutions

Managing the marketing review process can be a time-consuming and labor-intensive task. Many marketing reviews are conducted over email with no true audit trail or record of the approval process. At the 2017 PEI Private Fund Forum in New York City, 83% of the attendees polled at the event noted that they are either exploring workflow tools to support the marketing review process or haven’t assessed tools yet.

In January, ACA launched ComplianceAlpha, a comprehensive, cloud-based platform designed to help compliance teams manage their day-to-day workload by automating and centralizing compliance processes and activities. ComplianceAlpha offers a Marketing Review Solution (MRS) module, which provides a full management workflow for submitting, reviewing, approving, and archiving marketing and advertising reviews.

Webcast Demonstration

Many of our clients have expressed an interest in learning more about ComplianceAlpha’s MRS module and how it can help their team. To meet this demand, ACA will host a live demonstration webcast led by ComplianceAlpha product managers, ACA's Dan Campbell and Dileep Bhat, on June 14 at 11 a.m. During the webcast, Dan and Dileep will:

  • Distribution-in-guise concerns and continued difficulty to “DIG” out
  • Demonstrate MRS module features, including:
    • The submission and approval workflow;
    • Customize submission questions and routing workflows;
    • Reporting and business metrics; and
    • Uploading materials to FINRA;
  • Discuss the architecture and support requirements; and
  • Address questions submitted by attendees.

Who Should Attend?

This webcast is for compliance and marketing professionals interested in learning more about ComplianceAlpha’s MRS module.