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It is critical that registered investment advisers perform periodic and regular reviews of elecronic communications. Failure to conduct such reviews can invite intense scrutiny from the SEC's inspection staff.
ACA has the regulatory experience and expertise needed to perform quality reviews of registered investment advisers' electronic communications. Our team is composed of former SEC, FINRA, NYSE, NFA, FSA, and state regulators, as well as former senior compliance managers from a number of prominent financial institutions.
For more information on ACA's Electronic Communications Surveillance services, please contact Luke Wilson at firstname.lastname@example.org or 312-505-0307.