Wrap Up Compliance Projects by Year-End

Publish Date




  • Compliance

Have you fallen behind schedule with your compliance testing and surveillance? Need an extra hand to assist with your annual compliance review? With year-end clearly in sight, we are available to assist with any short-term staffing needs. 

The ACA team includes a dynamic mix of financial technologists, data scientists, and compliance consultants, many of whom have real-world industry experience and/or are former regulators (e.g., SEC, FINRA, NFA, FSA, etc.). Let us provide one or more to you on an interim secondment basis.

ACA’s Secondment and Staffing Assistance Solutions can support your firm with many year-end compliance tasks such as:

  • Compliance testing and assistance with the annual compliance review
  • Routine monitoring and surveillance, including:
    • Personal account dealing
    • Email and instant messaging communications
    • Trading surveillance
  • Secondment assistance including short or longer term loaning of compliance professionals
  • Year-end filings with the SEC, FINRA, CFTC, and NFA:
    • Form ADV update
    • Form PF update
    • Forms 13D, 13G, 13F, and 13H
  • Review of your cybersecurity policy
  • And more