Electronic Communications Reviews

Since March 2009, regulated firms have had an obligation to maintain records of electronic communication (e-comms). Successive regulations and regulatory expectations have enhanced these obligations. An effective e-comms review program is critical for detecting and preventing market abuse and financial crime, the perennial topics of regulatory focus as evidenced by numerous market abuse final notices.

ACA specialises in conducting thorough e-comms reviews to assist firms with meeting their regulatory obligations. Our UK e-comms consultants undergo rigorous and purpose-built training and are supported by their US counterparts that have been dedicated to performing e-comms reviews for over five years.

To learn more, download our factsheet or contact Sam Reid or Carl Day on +44 (0)20 7042 0560.

How We Help

Our search specialists and regulatory consultants will work with your firm to create a bespoke review program that can:

help identify potential issues for analysis and interrogation:
flag apparent instances of non-compliance or areas in need of improvement and bring them to your attention for action; and,
flag and report findings to inform and enrich your firm’s monitoring and management information reporting.

ACA’s e-comms review service augments your firm’s existing compliance function and gives senior managers greater visibility of the firm’s risks. It also provides outputs that can be used to help illustrate the existence of control and senior management oversight and demonstrate to third parties (e.g., regulators, auditors, investors/due diligence visits) the actions your firm takes relative to its e-comms obligations.