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GRC Solutions to Power Compliance for Broker-Dealers
Meet compliance and regulatory expectations with advisory, managed services, and tech.
Change is constant, and firms have to readjust their compliance program every time a new product or service is launched, or a regulation is introduced or changed. ACA Group can help you keep your compliance program on track and keep you abreast of the latest updates and industry best practices.
Whether you’re looking to launch, grow, or protect your business, our industry experts deliver tailored governance, risk, and compliance solutions to navigate regulatory change, enhance risk management, and streamline compliance.
91
FINRA Series 24, 26, 27, and 28 licenses
14
Former FINRA regulators
30
Former SEC regulators
6
Former state regulators
What are you looking to do?
Start a new firm or expand into new jurisdictions.
Scale your GRC program and adapt as your business evolves.
Safeguard your firm, investments, and reputation against emerging threats and changing regulations.
I’m looking to...
I’m looking to...
Address, review, and maintain your regulatory framework and documentation
Put in place scalable consulting solutions
Outsource your compliance function to lower expenses, deliver more with less
Digitize and future-proof your compliance program with regulatory technology
Meet your regulatory filing commitments and deadlines
Conduct branch office inspections
I’m looking to...
Mitigate gaps and threats created by regulatory change
Reveal your cyber vulnerabilities and protect your investments.
Address financial crime-related threats
Identify high risk activities with surveillance tools
Build and maintain operational resilience
Conduct capital and liquidity adequacy reviews
Reinforce employee compliance behaviors, training, and knowledge
Fill temporary staffing gaps in your compliance team
What are you looking to do?
Keep pace with the changing regulatory landscape.
Contact our team today to find out more about our tailored GRC solutions.
Why ACA?
Experience the ACA advantage in governance, risk, and compliance, where our team of specialists, advanced technology, and comprehensive services drive success for broker-dealers.
Industry expertise
Access insights into challenges specific to broker-dealers and learn industry best practices to mitigate risks.
Scalable support
Leverage the best people, processes, and technology to drive growth, enhance efficiency, and manage risks effectively.
Award-winning GRC solutions
Access top-rated advisory, managed services, and RegTech solutions for streamlined compliance and efficiency.
Contact us
Learn from our experts
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