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Our GRC Solutions
Governance, risk, and compliance solutions built for financial services.
Our unique blend of advisory, managed services, and technology—paired with deep regulatory expertise—delivers truly end-to-end GRC management and support, helping your firm turn complexity into clear, forward momentum.
Assurance through experience.
Gain access to subject matter experts from across the industry who are in your corner to guide you.
Disregard #1
Strengthen your compliance program with our team of 300+ global compliance professionals including 60+ former regulators (SEC, FINRA, FCA, CFTC/NFA, and State) and 100+ former in-house CCOs.
Regulatory Compliance
Strengthen your compliance program with our team of 300+ global compliance professionals, including 60+ former regulators (SEC, FINRA, FCA, CFTC/NFA, and State) and 100+ former in-house CCOs.
ESG Compliance
Develop and implement a comprehensive ESG strategy that meets regulatory requirements and enhances your firm’s sustainability practices with our regulatory compliance solutions.
AML and Financial Crimes
Address financial crimes-related threats with our team of former regulators and auditors.
Cybersecurity
Build cyber and operational resilience with ACA Aponix® cybersecurity experts for SEC cybersecurity risk management.
Investment Performance
Stay compliant with GIPS® standards and investment performance rules.
Distribution
Facilitate compliance and product distribution through legal underwriting, registered representative licensing, and fund sponsorship.
Training in Europe
Equip your team to effectively navigate FCA regulatory changes. Our courses cover the essential regulatory framework to navigate and apply compliance effectively.
Extend the power of your team with ours.
Boost efficiency and reduce risk by outsourcing your GRC management tasks. Our managed services simplify your processes, save time, and enhance business outcomes.
Disregard #1
Strengthen your compliance program with our team of 300+ global compliance professionals including 60+ former regulators (SEC, FINRA, FCA, CFTC/NFA, and State) and 100+ former in-house CCOs.
Marketing, Advertising, and Financial Promotions Reviews
Streamline regulatory reviews and optimize workflows.
Regulatory Filings
Simplify and manage your global regulatory submissions, including AIFMD Annex IV, Form ADV, Section 13 F, G, H, and Form PF.
Social Media and Online Presence Review
Identify and address compliance risks in social media.
Electronic Communications Reviews
Ensure compliance and improve policy effectiveness.
Disregard #1
Strengthen your compliance program with our team of 300+ global compliance professionals including 60+ former regulators (SEC, FINRA, FCA, CFTC/NFA, and State) and 100+ former in-house CCOs.
Expert Call Chaperoning, Transcript, and Recorded Call Solutions
Monitor and transcribe calls for compliance and manage the risk of sharing MNPI with AI-enabled surveillance to comply with SEC, FCA, and ESMA regulations.
Code of Ethics and Personal Trading System Support
Manage ethics and trading activities efficiently.
AML Due Diligence Support, KYC/CIP Onboarding, and AML Screening
Meet global Anti-Money Laundering requirements and perform KYC/CIP with expert analysis.
Staff Augmentation
Ease the burden of day-to-day tasks with additional skilled hands to take on key tasks and get routine work done.
Optimize compliance and drive performance.
Transform your compliance oversight and surveillance operations with ACA’s cutting-edge GRC technology platform, ComplianceAlpha®, allowing you to focus on what truly matters—your core business.
Compliance Management
Digitize risk monitoring, policy management, and compliance activity tracking, integrated with a library of compliance content written and updated by ACA’s experts.
AML and Sanction Checks
Mitigate regulatory risks, keep pace with industry best practices and support anti-money laundering (AML) programs powered by industry leading (AI)-driven financial crime risk data and detection technology.
E-Learning and Education
Simplify and centralize employee training requirements, tracking, and administration using our web-based training modules and third-party content.
Marketing and Financial Promotion Reviews
An end-to-end technology workflow to automate and increase the efficiency for review and approval of your firm’s sales, marketing, and promotional materials, including a disclosure/disclaimer library and rules engine to leverage automation.
Portfolio Oversight and Monitoring
Gain the strategic advantage with ACA Vantage and build a cybersecurity and ESG portfolio oversight program to position your portfolio companies for success.
eComms Capture, Archive, and Surveillance
Integrated surveillance and investigations platform that addresses the broad spectrum of risks firms face, from channel capture to Books & Records archiving, through to the automated, ongoing supervision of electronic communications.mply book a call with one of our speci
Market Abuse Surveillance
Using intelligent, risk-based outlier detection algorithms, Market Abuse Surveillance allows you to proactively identify issues and demonstrate a strong and defensible, proactive compliance trade surveillance program.
Employee Compliance
Manage employee certifications, day-to-day personal trading activity, and keep track of potential conflicts such as gifts and entertainment, political contributions, and outside affiliations – all in one place.
Control Room
Designed to be the main repository for both public and private data, Control Room allows you to enter and track data in the system while maintaining complete control over which users have access to the data.
Looking For More Info?
Simply book a call with one of our specialists. They will guide you through the GRC solutions available and help you build a plan perfect for your needs.
Client Perspectives
We’re certain we can be your ideal partner. But our clients say it best.
ACA has become a trusted extension of our team. Their performance expertise and practical support enabled us to transition to a fully outsourced performance and analytics model without disruption, while maintaining the consistency and integrity of our GIPS program. ACA has delivered 100% of agreed deliverables within established service-level timelines over the past 12 months, allowing our internal team to remain focused on strategic priorities.
– Jorge Aguilar, Pence Wealth Management
Our experience working with the team has been exceptional from start to finish. They consistently deliver a high level of service and are reliable, responsive, and committed to meeting deadlines. Their expertise and attention to detail give us great confidence in the quality and accuracy of their work. Most importantly, having the GIPS process handled with such care and expertise has taken a significant burden off our team. Knowing that we can rely on ACA’s team to manage this effectively has made the entire process much easier, particularly as we continue to grow and scale. We truly value their partnership and the peace of mind their support provides.
– Keith Kemp, New Age Alpha LLC
We have partnered with ACA to support and strengthen our compliance program since we began operations. ACA’s industry expertise and personal client service, especially from our Fund CCO, Jim Nash, has been unrivaled, and their proactive approach has kept us ahead of the evolving and complex regulatory landscape. I strongly recommend ACA to other investment firms seeking a trusted partner to enhance their compliance framework and navigate change with confidence.
-Kenneth Thomas, Ph.D., President, CEO and Secretary of Community Development Fund
ACA has been providing Fund Officer services to The China Fund for over 17 years. These services now include Treasurer, Chief Compliance Officer and Corporate Secretary. I have found ACA’s professionals to be extremely knowledgeable in their respective roles and they have provided our Fund, and the committees which I chair, with outstanding service over these many years.
– Rich Silver, Director and Chair of the Audit, Compliance and Valuation Committee, The China Fund, Inc.
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