A global asset management firm with more than $100 billion in assets under management (AUM) across multiple geographic regions needed a single solution to centralize the firm's compliance approval reviews of marketing materials across regions and distributed teams. The firm also required the ability to upload to FINRA while capturing and storing all data in a WORM-compliant format, and they needed to migrate seven years' worth of data to a new solution. The client chose ACA's ComplianceAlpha® Marketing Review Solution (MRS) to solve these challenges. Download our latest case study to learn more about how the client benefitted from MRS.
ComplianceAlpha is ACA's secure, centralized platform for managing your firm’s risk and compliance program. The platform enables compliance, marketing, and risk teams to more efficiently meet their firm's regulatory obligations and business needs through the integration of:
- risk assessments and regulatory requirements;
- compliance controls, policies, and procedures;
- compliance activity tracking and testing;
- marketing and advertising reviews;
- cybersecurity and technology risk management tools;
- trade surveillance; and
- personal securities trading and code of ethics (coming soon).