Simplify Research Compliance with AI-Powered Technology and Human Expertise

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

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 Items of Interest (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.

Absolutely. Every transcript, flag, and escalation are logged with timestamps, reviewer notes, and policy tags, providing a clear audit trail aligned with SEC and Financial Industry Regulatory Authority (FINRA) expectations.

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