Simplify Electronic Communications Reviews with Expert Support
Stay ahead of regulatory expectations with outsourced, proactive eComms oversight.
Keeping pace with the growing range of business communication channels, commonly known as eComms, is an ongoing challenge. From email and messaging apps to voice platforms and social media, employees use multiple tools to conduct business, each requiring consistent monitoring and effective surveillance.
ACA’s Electronic Communications Reviews help firms meet regulatory obligations and identify gaps in training, policies, and procedures before they become compliance issues. Reviews are tailored to your firm’s risk profile and conducted across any archival platform, including email, messaging, and voice communications.
Facing a regulatory exam or overwhelmed by eComms oversight? ACA helps you streamline compliance and stay ahead of risk.
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How ACA’s Managed Services Support Communications Review
ACA’s Managed Services are designed to help firms proactively manage compliance risks tied to employee communications. Whether you're responding to regulatory pressure or strengthening internal oversight, ACA has your firm covered.
Focus the review program on regulatory risks and business activities most relevant to the firm.
Uncover patterns that indicate the need for additional employee training or updates to procedures.
Assess social media and other key websites, including niche forums and trading platforms, to identify potential reputational or compliance risks.
Clearly document findings to support internal tracking, remediation, and audit readiness.
Conduct reviews within existing systems, including email, messaging, and voice communications.
Ready to simplify your electronic communications reviews process?
Discover how ACA can help you build a scalable, risk-based review program that aligns with your firm’s unique communication channels, regulatory obligations, and business priorities.
Compliance Support Powered by Technology
ACA’s Electronic Communications Reviews are delivered through a flexible model that pairs managed services with technology. Firms can integrate ACA’s review team into existing systems or use the ComplianceAlpha® platform to tech-enable the oversight process. Key capabilities include:
Capture Communications Across 85+ Platforms
Apply Customizable Lexicons and Boolean Search
Detect Anomalies with AI-driven Surveillance
Escalate Findings Through Structured Workflows
Generate Audit-ready Reports for Regulatory Exams
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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
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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 Firms Trust ACA for Electronic Communications Reviews
ACA’s Electronic Communications Reviews are delivered by experienced analysts and compliance professionals who have conducted thousands of reviews across global firms. We help you demonstrate a strong culture of compliance and stay ahead of regulatory expectations.
With structured workflows and tailored support, we help reduce internal burden, while supporting proactive risk mitigation.
Minimize Internal Workload
Offload time-consuming review tasks to ACA’s dedicated team.
Improve Consistency and Execution
Enhance consistency using standardized processes and peer-informed lexicons.
Stay Ahead of Regulatory Demands
Respond confidently to examiner inquiries with audit-ready documentation and remediation records.
Talk to us about how we can help manage your electronic communications reviews.
FAQs
Electronic Communications Reviews
Can ACA support reviews across any communications archive or surveillance platform?
Yes. ACA is system–agnostic and works within your existing archival systems, including email, chat, and voice platforms.
Can ACA review employee activity on social media and other public websites?
Yes. ACA offers social media and online presence reviews to help firms identify business-related online activity that may present compliance or reputational risks. This includes widely-used platforms as well as niche forums focused on trading or investment ideas.
How does ACA handle flagged or escalated messages in accordance with your firm’s escalation protocols?
Our analysts scrub flagged messages against your firm’s policies and logs, then provide resolution recommendations to your designated compliance contact.
Can ACA help us prepare for a regulatory exam or audit?
Absolutely. Our reports and documentation help demonstrate a proactive compliance program and support audit readiness, including the SEC, FINRA, FCA, and other global regulators.
Does ACA offer insights into training and policy improvements?
Yes. Our reviews often uncover trends that signal the need for additional employee training or updates to internal procedures.
Is ACA’s review methodology customizable to our firm’s needs?
Yes. We tailor scoping discussions, search terms, escalation protocols, and reporting formats to your firm’s unique risk profile and compliance framework.
How frequently are electronic communications reviews conducted?
Reviews are conducted at a cadence aligned with your firm’s risk tolerance, regulatory obligations, and internal oversight goals.
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