Marketing Review RegTech Solution Demo

Watch how ACA's ComplianceAlpha^®  Marketing Review Solution can take your marketing and advertising review out of email and into our fully-integrated regulatory technology platform. 

The sheer volume of financial promotions, marketing and advertising materials a firm needs to review for compliance places a huge strain on internal resources. As an example, with the SEC's new Marketing Rule now in effect for all regulated domestic and international firms, the burden has only increased for most firms.

This brief demo illustrates how smart technology helps lighten the load for firms globally, with tailored review and approval workflows, disclosure/disclaimer library and rules engine, and annotations and mark-up tools. 

Key Features

• Develop a tailored process for reviewing and approving submissions
• Upload materials for review to FINRA via AREF
• Curate a library of disclosures/disclaimers and definitions for tracking and validation
• Create a library of certain words and phrases (lexicon phrases) to use in rules
• Utilize automated transcription capabilities, full-text search capabilities, and multi-lingual support for transcription
• View the status of submissions, receive notifications, and visualize your workload

If you have questions while you watch, send them through the 'Q&A' box under the presentation, and our team will follow-up with you!