Comprehensive GRC Advisory Solutions

ACA’s advisory solutions provide expert guidance across all areas of governance, risk, and compliance (GRC) to help financial services firms regulated by the SEC, FINRA, CFTC, NFA, FCA, MAS, Hong Kong SFC, DFSA, and FSRA meet regulatory obligations, manage risk, and build operational resilience.

Our services include:

• Regulatory Compliance: Program design and maintenance, gap analyses, risk assessments and advice, mock examinations, and guidance on adapting to regulatory change
• ESG Advisory: ESG strategy, sustainability-related disclosures and reporting, regulatory readiness, and investor alignment
• AML and Financial Crime: AML program development, KYC, sanctions compliance
• Cybersecurity: Risk assessments, incident response, regulatory compliance
• Investment Performance: GIPS^® compliance, performance verification
• Distribution Compliance: Marketing reviews, cross-border distribution
• Training: Custom compliance and conduct training programs

Many of these services can be streamlined and simplified further by blending with our managed services and regulatory technology.

Our advisory solutions are designed for financial services firms globally, including:

• Investment managers (hedge funds, private equity, venture capital, real estate)
• Wealth managers, financial advisers, and family offices
• Commodity pool operators and trading advisers
• Broker-dealers
• Asset managers
• Fintech and digital asset firms subject to financial services regulation
• Global firms with cross-border compliance needs

ACA supports firms subject to the following regulators and regulations:

• United States: SEC, FINRA, CFTC, NFA
• United Kingdom: FCA, UK MiFID/MiFIR requirements, the UK AIFM regime, SM&CR, IFPR, and SDR
• European Union: MiFID II/MiFIR, AIFMD, EMIR, and SFDR
• 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
• Cross-Border Considerations: Data protection and privacy, AML/CTF, KYC, and cross-border marketing and distribution requirements

We offer both. ACA provides:

• One-time assessments and project-based consulting: Ideal for firms needing targeted support such as regulatory filings, gap analyses, or mock exams. This also includes advisory work in response to regulatory change or business transformation—such as trading new asset classes, launching new strategies, or entering new markets.
• Long-term advisory partnerships: Ongoing support that includes compliance monitoring, regulatory updates, training, and strategic reviews. These partnerships often evolve to address regulatory developments or business changes, ensuring firms remain agile and compliant as they grow or shift focus.
• Outsourced compliance roles and task execution: ACA can serve as an extension of your team by taking on day-to-day compliance responsibilities. In some regions, this can include outsourced chief compliance officer (CCO) roles, regulatory reporting, policy maintenance, and more.

Our flexible engagement models allow firms to scale their compliance function efficiently while maintaining regulatory confidence and operational continuity.

We start with a deep-dive assessment of your regulatory obligations, business model, and risk profile. From there, we design fully customized solutions that address specific compliance gaps, support niche asset classes, align with your governance framework, and scale with your growth. Our approach is collaborative and flexible, ensuring our advice fits your firm, not the other way around.

Our team continuously monitors global regulatory developments and regularly participates in industry forums. We also engage with regulators and participate in industry forums to understand evolving expectations. Our work with a broad range of financial services firms also gives us insight into how the industry is responding to emerging risks and regulatory change. These insights help ACA provide practical advice informed by regulatory developments and industry practices.

We begin with an assessment of your firm’s regulatory landscape and/or operations to understand specific needs.

• For newer or evolving firms, we deliver a phased implementation plan that includes integration, staff training, and ongoing support.
• For mature firms, the assessment leads to tailored support such as advisory input, framework enhancements, or ongoing compliance assistance.

Pricing is based on the scope and complexity of the engagement. We offer flexible models including flat fees and hourly rates.

ACA Signature also allows firms to combine compliance advisory services with managed services, regulatory technology, and cybersecurity based on their needs.

Firms may evaluate the value of an advisory engagement through measures such as internal time savings, reduced operational burden, increased access to specialized expertise, more efficient compliance processes, and improved readiness for regulatory requirements and business change.

Fill out our contact form to schedule a consultation with one of our advisory specialists.