Advertising and Marketing Review for Hedge Funds

With Hedge Funds likely to become regulated prior to December 31, 2009, ACI is prepared to provide all compliance services that these firms will need to meet upcoming SEC regulations. By looking at the current regulations for Broker Dealers and Investment Advisors under FINRA 2210 and SEC Rule 206, ACI has a clear picture of what regulations for Hedge Funds will look like and how to be in compliance with these upcoming regulations so that the firm can continue their business practices uninterrupted during this transition.

ACI works with hedge funds to achieve regulatory best practices in marketing and advertising communications. As with BDs and IAs, ACI will work with hedge funds to communicate with the public in regards to advertisements, sales literature, correspondence by letter or email to retain customers or potential retail customers, public appearances, and reprints to achieve the same approval status by a a registered principal that the SEC already requires for Broker Dealers.
 

ACI's marketing and advertising communications consulting for hedge funds includes, but is not limited to:

• Providing an overview of the content standards for development of advertising and marketing materials and reviewing campaigns

• Helping clients to understand which marketing and advertising materials are excluded from the filing requirements.

• Developing a system to review all marketing materials to ensure that they would meet SEC regulations

• Implementing a record keeping system to keep all campaigns on file

To inquire into ACI's Advertising and Marketing Review Services, contact us at info@acisecure.com.