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Marketing and Advertising Compliance Support
Scalable review support for marketing materials and financial promotions.
Financial services firms face increasing regulatory scrutiny of marketing, advertising, and financial promotions across the U.S., UK, Europe, and Asia. ACA Group’s Managed Services combine compliance expertise with ComplianceAlpha® Marketing Review technology and Encore AI to help firms strengthen marketing review processes and documentation.
Our specialists help firms:
- Review marketing materials: Access compliance support for marketing, advertising, and financial promotions.
- Scale review capacity: Extend internal resources to manage increased marketing review volumes and workloads.
- Streamline review processes: Use regulatory technology and Encore AI to support efficient workflows and documentation.
- Navigate regulatory requirements: Address applicable requirements under the U.S. Securities and Exchange Commission (SEC) Marketing Rule, European Securities and Markets Authority (ESMA) Cross-Border Distribution Regulation (CBDR), and Financial Conduct Authority (FCA), and Japanese Financial Services Agency guidelines.
- Strengthen compliance oversight: Improve consistency and visibility across marketing and advertising review activities.
Ready to strengthen your marketing and advertising reviews? Complete the form to discuss your marketing compliance and financial promotions review needs with our specialists.
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What Do You Need Help With?
Our Outsourced Marketing and Financial Promotion Review Services are designed to reduce the internal burden on compliance teams while ensuring materials meet evolving regulatory standards.
Supported by ACA’s AI-enhanced Marketing Review technology, our services offer smarter, faster, and more consistent oversight. We help clients:
Ensure your materials are clear, compliant, and aligned with your firm’s messaging to avoid regulatory issues and maintain credibility.
Speed up your workflow with efficient processes that maintain quality while reducing time and resource demands.
Explore our solutions for performance reporting, GIPS® composite management, fee calculations, and marketing support.
Catch potential issues early, such as exaggerated claims or missing disclosures, to reduce regulatory and reputational risk.
Foster better coordination between teams to enhance review quality, reduce friction, and improve overall efficiency.
Want to see how we can support your marketing and advertising reviews?
Our team will show you how we help firms review performance claims, disclosures, and financial promotions efficiently—while staying aligned with regulatory expectations.
Compliance Support Powered by Technology
We offer our Managed Services alongside ACA’s AI-enhanced ComplianceAlpha® Marketing Review module, giving your team a smarter, more efficient way to manage collateral workflows.
End-to-end approval workflows
AI-powered content analysis using NLP and OCR
Automated transcription of video/audio content
Integration with third-party systems
Review of PDFs, office documents, video, audio, and images
Rule-based inclusion/exclusion tagging
Disclosure tracking and side-by-side document comparison
Access to ACA’s document library for publishing approved content
I’m looking to...
Address, review, and maintain your regulatory framework and documentation
Digitize and future-proof your compliance program with regulatory technology
Put in place a scalable compliance program
Meet your regulatory filing commitments and deadlines
Outsource your compliance function to lower expenses, reduce key-man risk
Satisfy investor DDQs, meet standards of institutional investors
I’m looking to...
Seek guidance on regulatory requirements and new rules
Perform an SEC cyber mock audit
Conduct mock regulatory examinations
Implement cyber risk management
Undertake a cyber risk assessment
Run penetration testing
Leverage technology to help with code of ethics, employee compliance, market abuse surveillance, electronic communications surveillance, and more
Gain ESG insights through data and peer analytics
Address ESG gaps with expert advisory support
Why ACA?
ACA Managed Services supports 1,330+ clients worldwide through focused on marketing review and performance compliance. With deep regulatory knowledge, hands-on support, and integrated technology, we help your firm manage review cycles with confidence.
Reduce Internal Burden
Rely on a team that works within your systems to take on time-consuming tasks and free up internal capacity.
Improve Consistency and Execution
Bring structure and follow-through to core compliance activities with support that aligns to your program.
Stay Ahead of Regulatory Demands
Tap into a team that monitors changing rules and expectations, so your program stays responsive and up-to-date.
Ready to reduce review burden and improve oversight?
Our team can help simplify your marketing and financial promotion reviews.
FAQs
Marketing Review
How does ACA help marketing leads and Chief Compliance Officers (CCOs) manage content review efficiently?
ACA’s Managed Services team handles the first-line review of marketing and financial promotions, allowing Marketing Directors to maintain speed while CCOs gain assurance that materials meet regulatory standards.
Can ACA tailor reviews to fit our firm’s risk tolerance or priorities?
Yes. We align our content reviews with your firm’s risk profile, marketing strategy, and compliance tools—flagging items based on your internal standards and business needs. We can also look for client-specific risks or disclosures upon request.
What types of content does ACA review?
We support the review of pitchbooks, investor decks, social media content, web copy, presentations, emails, audio and video files, and RFPs—anything your firm shares externally or to investors.
How does ACA's Outsourced Marketing and Financial Promotion Review services support SEC Marketing Rule compliance?
Our team evaluates materials for performance claims, hypothetical performance, testimonials, and disclosures, highlighting potential violations and offering risk-mitigating edits.
Do CCOor heads of compliance maintain control over final approvals?
Yes. ACA surfaces concerns, but your internal compliance team maintains approval authority. We document review actions and escalation rationale for full transparency.
How does ACA help reduce review backlogs during product launches or rebrands?
Our team can step in during high-volume periods to help marketing and compliance teams scale quickly, ensuring fast, compliant reviews without delays.
Can ACA help international marketing teams meet FCA or ESMA standards?
Yes. We support region-specific reviews aligned with the FCA’s financial promotions regime and helping global firms localize their materials.
Is this service only for large asset managers or fund platforms?
Not at all. We work with a range of clients from boutique private equity firms to large institutional asset managers.
Can the review service be paired with our internal systems?
Yes. ACA can operate within your content management system or through our own platform, ComplianceAlpha®. We’re flexible to your workflow.
How does ACA ensure consistency across multiple reviewers or offices?
We use documented review criteria, tagging structures, and shared workflows to ensure every marketing asset is evaluated consistently regardless of region or reviewer.
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