ACA's Digital Swag Bag

Welcome! Thank you for stopping by our booth, below we've put together a few resources you may find valuable along with a collection of ACA's best guides, white papers, and checklists. Please enjoy this digital "swag" from ACA!

Simply click the links below to download any of the below to view and download directly to your device!

Product Insights

ACA Company Overview

Learn more about how ACA is supporting firms to reimagine GRC with our full suite of services.

Spotlight on our ESG Advisory Services

Learn how our dedicated ESG advisory practice helps firms of all sizes develop and monitor ESG programs to mitigate risk, make informed choices, grow profitably and sustainably, and combat greenwashing in the process.

ETF Overview

Learn more about how we advise ETF issuers and asset managers regarding the regulatory, financial, operational, and distribution requirements of exchange-traded funds.

Marketing Rule Resources

Guide to the Presentation of Performance Under the New Marketing Rule

This new marketing rule combines old and new concepts that will have a direct impact on the way firms present performance in the future and we have included some of the key concepts. This white paper will talk about these changes and how firms can prepare to present performance in line with the new rule.

Marketing Rule Success Stories

The deadline to comply is November 4, 2022. Whether you are 80% of the way there and have a few remaining questions or are just starting to look at the new rule, ACA can help. Below are just a few examples.

Marketing Rule Insights Library

Explore our library of Marketing Rule webcasts, podcasts, white papers, and more.

Is an OCCO Right for You?

Outsourced Advisor Chief Compliance Officer Overview

We offer dedicated outsourced Chief Compliance Officers (OCCOs) for registered investment advisors. Our team of professionals include former in-house CCOs and attorneys. Learn more here.

Meet our OCCO's

When you hire ACA as your OCCO, you are getting more than just a CCO. You get a team of compliance experts with years of experience supporting the CCO performing such tasks as marketing review, email review, code of ethics reporting, and much more. Learn more about our team.

Webcast: Is an OCCO Right For You?

Listen to our on demand webcast where we discuss the role of the Outsourced Chief Compliance Officer (OCCO) and how it can help your SEC- or FINRA- registered firm mitigate risks, while providing independent best practices from the leading GRC firm in the U.S.

Newsletters, White Papers, Checklists, and Guides

Distribution Digest Vol. 4

We are happy to share with you the fourth edition of the Distribution Digest, which contains information about recent trends and news related to the asset management marketplace.

October Regulatory Update

In our October Regulatory Update, we share unique insights and practical thought leadership on recent regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.

Compliance Testing Action Plan

To help you get started on your annual testing mandate, we’ve developed an action plan to guide you through the key questions to ask as you get started on your existing testing plan or developing a new one.

Surveillance Program Gap Analysis Checklist

Is your surveillance program truly risk-based? ACA’s team of experienced professionals have developed a checklist to help firms determine whether their surveillance program has gaps and where it may need improvements.

Cybersecurity Checklist

Evaluate your threat readiness with our cybersecurity checklist. Review the following cybersecurity safeguards and evaluate your firm’s threat readiness considering increasing cyber threats.

TCFD Quick Reference Guide

Our Task Force on Climate-Related Financial Disclosures (TCFD) reference guide is intended to simplify the TCFD reporting process by providing quick insights on how to gather and report on relevant data.