Streamline Your Marketing and Financial Promotions Review

Non-compliant marketing materials can expose firms to significant legal, financial, and reputational risk. Our solution helps ensure that materials meet global regulatory standards, helping firms avoid penalties, protect their brand, and enhance operational efficiency.

Consequences can include regulatory fines, enforcement actions, legal costs, and loss of client trust, all of which can damage a firm’s reputation and bottom line.

Regulatory bodies such as the SEC, FINRA, FCA, and ESMA define standards for promotional content. Firms must stay current with these evolving expectations to remain compliant.

Our solution delivers an end-to-end workflow for reviewing and approving marketing materials and financial promotions. It combines AI-driven technology, natural language processing, and optional managed services to help firms save time, increase efficiency, mitigate risks, and reduce total cost of ownership.  

Key features include:  

• Automated scanning and flagging using natural language processing  
• Full audit trails and approval workflows  
• Seamless integration with existing compliance tools  
• Optional support from ACA’s managed services team  

Our solution automates and streamlines the compliance review process, scanning marketing materials against regulatory standards such as the SEC Marketing Rule, FINRA guidelines, and financial promotion rules in the UK and EMEA. AI-driven technology detects and flags potential compliance issues, and firms can also opt for expert manual review to ensure accuracy and regulatory alignment.  

Our platform can review websites, social media content, pitch books, and financial promotional documents. It ensures all marketing materials are compliant with regulatory guidelines for the financial services industry.  

Our solution automates compliance processes, monitors promotional content, and generates reports, reducing manual errors and ensuring consistent adherence to regulations. It helps firms meet requirements under the SEC’s Marketing Rule, FINRA regulations, and other financial advertising guidelines.

Effective compliance oversight helps prevent all forms of regulatory discipline, including comment letters, fines, and enforcement actions. A proactive compliance program helps protect the firm’s reputation by ensuring all promotional content meets regulatory standards.

Firms should implement consistent review processes, provide training on compliance standards, and use automated tools like ACA’s Marketing Review and Financial Promotions solution to detect potential issues early.

By automating processes, minimizing manual intervention, and reducing errors, our solution lowers operational costs while improving review accuracy and audit readiness.  

The solution automates review workflows and scales to meet large content volumes, reducing bottlenecks and review time without sacrificing compliance rigor.  

Yes. Our solution is configurable to align with your firm’s unique compliance processes, jurisdictional requirements, and approval workflows.  

Our solution follows industry-standard security protocols, including data encryption and secure user access controls, to ensure that sensitive marketing materials and compliance information are protected from unauthorized access or breaches.  

Our technology integrates with your current tools and workflows to enhance automation and visibility without disrupting established compliance operations.