AI-Powered Research Compliance Solutions

ACA’s team provides pre-call reviews, live chaperoning, and human validation of flagged risks from Encore AI. This reduces the review burden for CCOs and empowers compliance teams to maintain effective, scalable oversight of material nonpublic information (MNPI) sensitive calls.

Expert network compliance solutions help investment firms manage the risks associated with consultations and calls involving external experts. They can include pre-call screening, risk assessments, live chaperoning, transcript review, escalation workflows, and documentation designed to support a firm’s policies on MNPI, conflicts of interest, and confidential information.

Pre-call compliance screening can include review of the proposed expert, their current or former employer, the planned discussion topics, and potential conflicts and MNPI risks. ACA can document the review, apply the client’s policies, and escalate higher-risk consultations for additional review or live chaperoning.

Firms can assess an expert’s employment history, affiliations, proposed topics, and the nature of the consultation against their internal risk criteria. ACA’s specialists and Encore AI-supported workflows help identify potential conflicts, confidential information concerns, and MNPI risks before an engagement proceeds.

Firms may use live chaperoning when a consultation presents elevated MNPI, conflict, confidentiality, or policy risks. A compliance professional can monitor the discussion in real time, support appropriate intervention, and escalate concerns according to the client’s procedures.

Live chaperoning involves a compliance professional joining or monitoring a high-risk expert call in real time. The chaperone helps oversee adherence to the firm’s policies, identifies potential concerns as they arise, and documents or escalates issues for the client’s compliance team.

Compliance oversight may be provided by an internal compliance team, an outsourced provider such as ACA, or a combination of both. ACA works within each client’s policies and escalation framework, while the client retains final decision authority and oversight of its compliance program.

Depending on the firm’s policies, workflows should retain relevant pre-call screening documentation, risk assessments, approvals, call transcripts, Items of Interest (IOI), reviewer notes, escalations, and disposition records. These records help support consistent oversight and a defensible audit trail.

Encore AI can analyze transcripts and surface IOI for review. ACA’s compliance specialists validate relevant findings, document the review, and escalate potential policy breaches, MNPI concerns, or other risks to the client’s compliance team in line with established procedures.

Encore AI automates transcription, flags high-risk language in real time, and classifies content for efficient review. Our compliance professionals then validate and escalate findings, combining speed and scale with expert judgment.

Yes. Our compliance specialists review and triage flagged IOIs, escalating potential policy breaches or MNPI concerns according to your firm’s procedures.

Not at all. ACA works within your policies, and you retain final decision authority. Our team serves as a support layer, enhancing review coverage without replacing internal decision-makers.

We support compliance coverage for expert network calls, cap intro meetings, internal research briefings, earnings discussions, and LP communications.

Yes. Transcripts are centralized, searchable, and tagged by topic, enabling research analysts and investment teams to find key insights faster—while compliance tracks review activity.

Yes. ACA’s compliance professionals can join expert or diligence calls in real time, helping CCOs apply proactive oversight during sensitive engagements.

ACA’s workflows can document transcripts, flags, reviewer notes, policy tags, and escalations with timestamps to support a clear audit trail. Clients should confirm that their configured workflow and recordkeeping approach align with applicable SEC, FINRA, and internal requirements.

Yes. We configure our Managed Services to reflect your risk matrix, escalation criteria, and preferred documentation format—ensuring alignment with your compliance governance model.