Investment advisers, private fund managers, and broker-dealers often struggle with SEC and FINRA rules and guidance regarding how they can market their investment products and services. Many firms also struggle to stay current with regulatory guidance while ensuring their disclosures meet ever-changing industry best practices. In addition, the legal and compliance departments responsible for reviewing marketing materials are often challenged during periods of increased activity and may not have the capacity to provide immediate feedback to business development teams.
ACA has seen an increased demand from large financial services firms for assistance with marketing and advertising reviews due to staff turnover and during times of increased volume. Accordingly, we have created a dedicated knowledge center to assist financial services firms of all sizes with their marketing and advertising review processes.
ACA’s team has deep, cross-jurisdictional expertise with consultants from both the SEC and FINRA leading our team of marketing reviewers. We can help firms develop customized workflows to ensure compliance review timeframes meet business expectations – both on a permanent basis and during periods of high volume.
Our marketing and advertising review solution is part of our compliance support solutions. Other compliance support solutions include strategic compliance program and resource reviews, secondment and staffing assistance, and on-site compliance services. For more information, please contact Gregory Mekanik (+1 804-379-7800), Joshua Broaded (+1 412-253-6330), Alan Halfenger (+1 617-589-0904), or your ACA consultant.