Expert Compliance Advisory and Consulting Services

Compliance advisory solutions help firms:

• Navigate complex and evolving regulations
• Reduce the risk of regulatory fines and enforcement actions
• Improve operational efficiency and internal controls
• Build investor and regulator confidence

ACA supports firms subject to the following regulators and regulations:

• United States: SEC, FINRA, CFTC, NFA
• United Kingdom and Europe: FCA, MiFID II, MiFIR, AIFMD, EMIR, SMCR, IFPR, SFDR/TCFD, SDR
• UAE: DFSA, FSRA
• Hong Kong: SFC, Securities and Futures Ordinance (SFO), Code of Conduct, Fund Manager Code of Conduct (FMCC), AML/CTF Guidelines, and the Virtual Asset Trading Platform (VATP) framework
• Singapore: MAS, Securities and Futures Act (SFA), Financial Advisers Act (FAA), AML/CTF Notices and Guidelines, and the Payment Services Act (PSA) for digital assets and fintech regulation
• Global and Cross-border: GDPR, AML, KYC

Our compliance experts help firms meet jurisdiction-specific requirements and maintain readiness for regulatory reviews and filings.

We monitor regulatory developments, assess their impact, and help firms adapt through a range of services, including:

• Updating compliance policies and procedures
• Training staff on new or amended regulatory requirements
• Implementing compliance technology and automation
• Perform ongoing compliance reviews to ensure compliance programs have successfully addressed regulatory changes

In addition, we can provide outsourced compliance professionals and secondments to support internal teams during periods of change or increased regulatory pressure.

Our flexible resourcing model ensures firms have the right expertise at the right time—whether for short-term projects or long-term, ongoing support.

ACA supports firms in building robust risk and control frameworks by helping to:

• Identify and assess regulatory, operational, and reputational risks
• Strengthen internal compliance controls and governance structures

In addition to compliance advisory, we can further support risk management by:

• Enhancing operational resiliencethrough scenario planning and business continuity assessments
• Integrating cybersecurity, ESG, and investment performance considerations into risk frameworks

Our structured approach ensures that compliance programs are tailored, scalable, and effective. We typically:

• Assess your current compliance framework and regulatory obligations
• Design customized compliance programs aligned with your business model
• Leverage technology to automate monitoring, reporting, and risk management
• Provide ongoing monitoring, support, and regulatory updates

To further help simplify and streamline your compliance obligations, we also offer integrated support through our:

• Managed Services: For ongoing execution of compliance tasks such as testing, surveillance, and reporting
• RegTech solutions: To streamline compliance operations with automation, analytics, and real-time insights

This end-to-end model ensures your compliance program is not only well-designed but also efficiently executed and future-ready.

ACA supports firms regulated by theHK SFC, MAS, and other global authorities through the full regulatory authorization and registration process. Our services include:

• Navigating licensing and registration requirements across jurisdictions
• Preparing and reviewing regulatory documentation and disclosures
• Managing communications and submissions with regulatory bodies

For firms seeking a faster or more flexible route to market, we also offer:

• Regulatory hosting via ACA Mirabella: Allowing firms to operate under our FCA-regulated platform while building their own infrastructure
• Distribution support services: Helping firms expand into new markets with compliant marketing, investor onboarding, and cross-border distribution strategies

ACA provides tailored compliance consulting services to firms regulated by the , HK SFC, MAS, and other global authorities. Our services include:

• Regulatory strategy and gap analysis to assess readiness and identify areas for improvement
• Policy and procedure development aligned with jurisdictional requirements and industry best practices
• Ongoing compliance advisory support, including regulatory updates, risk assessments, and program enhancements

To support implementation and execution, we also offer Managed Services, including outsourced compliance operations, staff augmentation, surveillance, testing, reporting, and day-to-day program management.

If you’re looking for tailored compliance support or want to explore how ACA can help your firm meet regulatory obligations across jurisdictions like the SEC, FCA, NFA, FINRA, CTFC, FSRA, DFSA, HK SFC, MAS, and more—we’re here to help.

Fill out our contact form to speak with an expert.