Streamline Employee Compliance with Code of Ethics Support
Reduce the burden of employee compliance with ACA’s Managed Services offering.
Global regulators, including the SEC, FINRA, and FCA, continue to focus on insider trading, market abuse, and conflicts of interest. ACA’s Code of Ethics and Personal Trading Support helps firms stay proactive by streamlining oversight and reducing the burden of day-to-day compliance tasks.
Our team supports key workflows across your Code of Ethics program, including personal trade reviews, certification management, and restricted list oversight. Services are delivered by experienced professionals who work within your firm’s compliance framework and operational preferences.
Need help managing employee disclosures, trade reviews, or certification cycles? We’re here to help.
Get more information
How ACA Supports Your Code of Ethics Program
ACA’s Managed Services team supports a wide range of employee compliance activities. Here’s how we help firms manage the day-to-day responsibilities of their Code of Ethics programs:
Achieve accurate reporting of personal accounts, holdings, and transactions in line with your firm’s policies.
Manage restricted and watch lists and support firm-specific trading rules to reduce risk.
Review employee trades, flag late submissions, and escalate potential issues for compliance resolution.
Simplify the management of gifts, political contributions, outside business activities, and other employee disclosures.
Reconcile personal accounts and manually enter data from brokers without electronic feeds.
Refine your oversight processes with tailored recommendations that align with your compliance goals.
Ready to Simplify Your Code of Ethics and Personal Trading Program?
Gain confidence in your oversight with a program designed to simplify reporting, uncover risks, and support firm-wide compliance.
Compliance Support Powered by Technology
Our Code of Ethics support can be tech-enabled through ACA’s ComplianceAlpha® platform or your existing systems. We help streamline oversight across personal trading, certifications, and disclosures, while keeping your team in control of key decisions. Core capabilities include:
Personal trading oversight and review
Certification and attestation management
Conflict monitoring (e.g., gifts, political contributions, outside affiliations)
Manual review and escalation of items of interest (IOIs)
Audit-ready reporting and documentation
Integrate with screening lists and trading rules
I’m looking to...
Address, review, and maintain your regulatory framework and documentation
Digitize and future-proof your compliance program with regulatory technology
Put in place a scalable compliance program
Meet your regulatory filing commitments and deadlines
Outsource your compliance function to lower expenses, reduce key-man risk
Satisfy investor DDQs, meet standards of institutional investors
I’m looking to...
Seek guidance on regulatory requirements and new rules
Perform an SEC cyber mock audit
Conduct mock regulatory examinations
Implement cyber risk management
Undertake a cyber risk assessment
Run penetration testing
Leverage technology to help with code of ethics, employee compliance, market abuse surveillance, electronic communications surveillance, and more
Gain ESG insights through data and peer analytics
Address ESG gaps with expert advisory support
Why Firms Trust ACA for Code of Ethics Oversight
ACA’s Code of Ethics and Personal Trading Support is delivered by experienced compliance professionals with hands-on knowledge of employee oversight programs. Our team works alongside yours to manage operational lift and improve consistency across reporting, monitoring, and review efforts.
With structured workflows and tailored support, we help reduce internal burden while supporting compliance with regulatory expectations and firm policies.
Reduce Internal Burden
Rely on a team that works within your systems to take on time-consuming tasks and free up internal capacity.
Improve Consistency and Execution
Bring structure and follow-through to core compliance activities, supported by solutions that align with your program.
Stay Ahead of Regulatory Demands
Tap into a team that monitors evolving expectations and helps your program stay responsive and up-to-date.
Talk to us about how we can help manage your Code of Ethics program.
FAQs
Employee Compliance Monitoring Support
What does ACA’s Code of Ethics support include?
ACA helps firms manage personal trading reviews, certifications, disclosures, and restricted list oversight—reducing internal burden and improving consistency across employee compliance workflows.
Can ACA support firms that don’t use ComplianceAlpha®?
Yes. ACA is system-agnostic and can work within your existing platforms or manual processes to support your Code of Ethics program.
What are Items of Interest (IOIs) and how are they handled?
IOIs are alerts that may indicate potential compliance issues. ACA reviews and escalates these items with context to support informed decision-making and remediation.
How does ACA assist with personal trading oversight?
We review employee trade activity, flag late or non-compliant submissions, and escalate Items of Interest (IOIs) to help your team stay ahead of potential issues.
What types of certifications and disclosures can ACA manage?
ACA supports certifications for gifts, entertainment, political contributions, outside business activities, and ad-hoc attestations assuring timely completion and policy alignment.
Can ACA help manage restricted and watch lists?
Yes. We assist with the setup, maintenance, and enforcement of screening lists and trading rules to help mitigate conflicts of interest.
Is ACA’s support tailored to our firm’s policies?
Absolutely. Our services are customized to align with your firm’s Code of Ethics, compliance framework, and operational preferences.
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