SEC Marketing Rule Compliance Solutions
Expert support for advertising, performance, and disclosure requirements.
ACA Group’s U.S. Securities and Exchange Commission (SEC) Marketing Rule compliance solutions help investment advisers assess advertising, performance information, disclosures, and marketing compliance programs against evolving regulatory requirements. Our specialists help firms:
- Review advertising practices: Assess marketing materials and processes against SEC Marketing Rule requirements.
- Validate disclosures: Review disclosures for consistency, clarity, and alignment with applicable requirements.
- Assess performance reporting: Evaluate the presentation and use of investment performance information in marketing materials.
- Strengthen internal controls: Identify potential gaps and enhance controls across marketing review and approval processes.
- Enhance compliance programs: Provide independent expertise to help firms strengthen their approach to SEC Marketing Rule compliance.
Ready to strengthen your SEC Marketing Rule compliance? Complete the form to discuss your marketing rule compliance needs with our specialists.
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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
Marketing Material Compliance Testing
Books and Records Assessment
Compliance Program Execution Support
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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
Industry-Leading Expertise
Customized Scopes
FAQs
SEC Marketing Rule Compliance Solutions
What is the SEC’s Marketing Rule and why does it matter?
The rule modernizes how investment advisers advertise and communicate performance, requiring clear, accurate, and substantiated disclosures. Non-compliance can lead to enforcement actions and reputational damage.
How does ACA help firms comply with the SEC Marketing Rule?
ACA provides independent reviews of marketing materials, performance data, and disclosures, ensuring alignment with regulatory expectations and industry best practice.
What types of firms benefit from ACA’s compliance solutions?
Our services are tailored for investment advisers of all sizes, including those managing private funds, institutional accounts, and retail clients. We support firms with complex performance histories and multi-system data environments.
What deliverables can I expect from ACA’s review?
You’ll receive a comprehensive summary report detailing findings, risks, and actionable recommendations to improve compliance and governance.
Can ACA help with ongoing compliance program execution?
Yes. ACA supports implementation and continuous improvement using insights from over 6,300 clients, helping your firm stay ahead of regulatory changes and peer benchmarks.
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