What compliance functions can ACA support through Managed Services?

AML due diligence, sanctions screening, marketing review, and core compliance task execution.

Can ACA help firms manage global AML onboarding and screening requirements?

Yes—covering due diligence, onboarding, screening, and monitoring to meet global AML standards.

How does ACA support Marketing and Financial Promotions review?

By reviewing pitchbooks, emails, and other content for SEC, FCA, and ESMA compliance.

What is included in core compliance task outsourcing?

Regulatory calendar execution, compliance tracking, policy reviews, and flexible staffing.

Can ACA provide temporary compliance staff or secondments?

Yes—short-term and ongoing secondments to fill key compliance roles.

How do firms maintain control while outsourcing compliance tasks?

Firms retain final oversight and decision-making while ACA executes tasks per their policies.

What systems does ACA use to deliver its services?

Services run on ACA’s ComplianceAlpha ® platform or within clients’ existing systems.

Does ACA support multi-jurisdictional compliance teams?

Yes—structured to handle U.S., U.K., and EU regulatory frameworks.

How does ACA ensure consistent execution across compliance tasks?

Standardized procedures and escalation logic ensure repeatable, policy-aligned work.

Home Advisory Investment Performance SEC Marketing Rule Compliance Solutions

Navigate SEC Marketing Rule Compliance with Confidence

Expert support for advertising, performance, and disclosure requirements.

The SEC’s modernized Marketing Rule has reshaped how investment advisers communicate with clients and prospects, increasing the complexity and importance of compliance. ACA’s SEC Marketing Rule compliance solutions provide tailored, third-party support to help your firm validate disclosures, align performance reporting, and strengthen internal controls. With deep regulatory expertise, ACA ensures your firm meets investor expectations, while avoiding costly compliance missteps.

Is your marketing program fully aligned with the SEC’s latest rule?
ACA can assist in assessing and enhancing your compliance strategy.

Get more information

Compliance Services Tailored to Your Firm’s Needs

ACA offers a comprehensive suite of services to help firms meet the SEC’s Marketing Rule requirements with precision and confidence.

Performance Disclosure Review

Validate the accuracy and consistency of performance data, methodologies, and assumptions used in marketing materials.

Marketing Material Compliance Testing

Identify misleading statements and ensure disclosures meet regulatory standards across all channels and affiliates.

Books and Records Assessment

Ensure your firm can locate and substantiate the records supporting performance claims, especially across legacy systems and spreadsheets.

Compliance Program Execution Support

Leverage insights from over 6,300 ACA clients to strengthen your internal controls and align with industry best practices.

Get Started Today

Learn why the industry’s most well-known firms choose to partner with us. Contact a member of our team to learn how ACA can ensure your firm is compliant with SEC’s Marketing Rule.

ACA’s Proven Approach to Compliance and Governance Excellence

ACA’s SEC Marketing Rule compliance solutions deliver unmatched value through:

Independent Validation

Gain additional comfort on controls, disclosures, and compliance through a rigorous third-party review.

Industry-Leading Expertise

Tap into ACA’s global team of compliance professionals with deep knowledge of SEC regulations and peer benchmarking across thousands of firms.

Customized Scopes

Benefit from highly tailored assessments of data, methodologies, records, and governance structures.