Electronic Communications Reviews

An effective email review program is critical for preventing, among other things, misuse of material non-public information by an adviser or an adviser’s employees. ACA Compliance (Europe) specialises in conducting thorough reviews of electronic communications to help your firm meet its regulatory obligations in this area.

How We Help

Our search specialists and regulatory consultants tailor a review program that targets the activities and regulatory risks of greatest concern to your firm. In performing these reviews, we:

tailor search terms and focus areas specifically to your firm,
escalate potential issues for review and resolution to your firm’s chief compliance officer, and
provide timely standardized reports of review results.