Expert Compliance Advisory and Consulting Services
Partner with ACA for trusted compliance advisory services.
Regulatory expectations are constantly evolving. Our expert advisory services guide you through every twist and turn. With tailored solutions, we help you build robust compliance programs and seamlessly navigate complex regulatory landscapes.
Whether you’re a hedge fund, asset manager, broker-dealer, private equity firm, or institutional investor, we can help.
Curious to learn more? Strengthen your compliance program with our global team of compliance consulting professionals today.
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Expert Team
compliance professionals, including 60+ former regulators and 90+ former in-house CCOs.
Trusted Partner
firms supported in their launch, registration, and authorization, including SEC, FCA, FINRA, CFTC, DFSA, and FSRA applications.
Satisfied Clients
satisfaction score for our expertise, responsiveness, recommendations, and ability to understand our client’s business.
What Do You Need Help With?
Our global regulatory compliance consulting team helps you address evolving expectations across key jurisdictions—including those set by the SEC, FCA, FINRA, NFA, CFTC, DFSA, and FSRA— while considering the complexity of your firm’s unique compliance requirements.
Authorization & registration services
Simplify US, UK, and EU applications.
Compliance program development and enhancement
Develop compliance manuals, policies.
Compliance program and thematic reviews, mock exams, gap analysis
Identify weaknesses and conduct health checks.
Consulting services
Advisory services, RegTech, ESG, and cybersecurity.
E-learning and education
Consultant-led training and on demand e-learning.
FINOP accounting services
Outsourced registered FINOP and outsourced accounting functions.
Fund officer services
Placing experienced officers close to the board.
Inspection support services
Document review, personnel prep, chaperoning.
Liquidity risk and prudential services
Manage ICARA process and liquidity rules.
Outsourced chief compliance officer (OCCO)
Leverage compliance experts for quality and scalability.
Regulatory filings
Draft, review, and file efficiently with our global specialists.
Regulatory hosting
Gain faster access to the UK and European markets with ACA Mirabella
Senior manager obligations
Prepare and file FCA applications under SM&CR. Training and document maintenance.
Trade and transaction reporting services
Identify and fix MiFIR and EMIR reporting exceptions.
Leverage compliance experts for quality and scalability.
Leverage compliance experts for quality and scalability.
Simplify U.S., UK, and UAE applications.
Identify weaknesses and conduct health checks.
Consultant-led training and on-demand e-learning.
Placing experienced named officers on registered fund boards.
Manage ICARA process and liquidity rules.
Draft, review, and file efficiently with our global specialists.
Prepare and file FCA applications under SM&CR, provide training, and maintain required documentation.
Leverage compliance experts for quality and scalability.
Develop compliance manuals and policies.
Hourly engagement and project work.
Outsourced registered FINOP and accounting functions.
Document review, personnel prep, and chaperoning.
Gain faster access to the UK and European markets with ACA Mirabella.
Identify and fix MiFIR and EMIR reporting exceptions.
Execute targeted monitoring activities and reviews tailored to your firm’s framework.
Enhance regulatory readiness and resilience with ACA Effecta’s solutions for the Middle East.
Not Sure Which Solution You Need?
Simply book a call with one of our specialists. They will guide you through the regulatory compliance consulting services available and help you build a plan perfect for your needs.
Tackle Compliance Challenges with Confidence
Trust ACA for expert compliance advisory services.
Our consultants deliver practical guidance and tailored solutions to help you stay ahead of evolving regulations.
Why ACA?
Discover the ACA difference in compliance excellence, where skilled specialists, innovative technology, and tailored solutions enhance efficiency, reduce risk, and deliver superior results. Here’s what sets us apart:
Expertise and Guidance
Access to former SEC, FCA, FINRA, NFA, CFTC, DFSA, FSRA, and state regulators and specialists for tailored global advice.
Compliance Assurance
Gain assurance through our experience. Adapt to evolving standards and minimize risk.
Operational Efficiency
Streamline compliance processes, cut costs.
ACA Signature
Scalable consulting solution designed to help financial institutions meet their regulatory obligations and streamline their day-to-day compliance operations. It combines expert advisory support with optional regulatory technology, cybersecurity, and managed services to build, enhance, or manage your compliance program.
FAQs
Compliance Advisory and Consulting Services
Why do financial services firms need compliance advisory solutions?
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
Which regulations do ACA’s compliance advisory solutions cover?
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.
How can ACA compliance advisory solutions help with regulatory changes?
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.
How can ACA’s compliance advisory solutions help with risk management?
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
How does ACA implement compliance advisory solutions?
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.
How can ACA assist with regulatory authorization and registration?
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
What types of compliance consulting services does ACA offer?
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.
How can I learn more about compliance advisory solutions?
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.
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