Case Study: How ComplianceAlpha Streamlined Marketing Reviews for a $25B AUM Investment Adviser

March 16, 2018 by Glen Froio

ACA Technology's case studies highlight how ACA's technology solutions can help firms streamline operations, scale for growth, and meet business objectives effectively and efficiently.

Today's case study focuses on ComplianceAlpha®, ACA's secure, centralized platform for risk and compliance program management.

Client Type: An Investment Adviser with $25B AUM

The Challenge

An investment adviser with approximately $25 billion AUM representing multiple client types and distribution channels had difficulty managing the volume of marketing materials that needed to be approved by designated supervisors and departments, resulting in delays in the review process.

The ACA Technology Solution

The client implemented ComplianceAlpha's Marketing Review Solution (MRS). ACA configured workflow and routing polices within MRS that allowed for the standardization of review and approval metrics and the reporting of turnaround metrics. In addition, ACA assisted the client with the creation of customized submission forms and the archiving of submission records in accordance with SEC Rule 17a-4.


The client benefited from MRS' streamlined and efficient marketing review and approval workflows, and the ability to manage compliance task schedules for multiple affiliates from a centralized compliance calendar.

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About the Author

Glen Froio is a Partner with ACA Technology Solutions. He is responsible for leading the organization’s expansion into global markets and its next phase of growth as a technology innovator. Glen enjoys working with ACA Technology’s clients, helping them solve their most complex technical challenges and improving their business efficiency. He was a founding partner and CEO of NorthPoint prior to partnering with ACA Compliance Group to establish the new division, ACA Technology Solutions. Along with his executive team, Glen led NorthPoint from a start-up operation to a leading provider of financial software solutions to the capital markets. Prior to joining NorthPoint, Glen was the Senior Vice President of Operations and Business Development for Stride and Associates, where he mentored and led a team of over 350 employees across 27 offices and 18 cities. Glen was responsible for sales and marketing strategy, growth and development of the senior management teams, forecasting and execution against sales goals, and driving operational excellence throughout the firm.