ACA Signature

Including:

• Registration and filing services
• Compliance program development and enhancement
• Management of ongoing compliance obligations
• Compliance program reviews, mock exams, and gap analysis
• Inspection support services
• Compliance training
• Consulting support for compliance and operational questions

This can include:

• Electronic communication reviews
• Social media reviews
• Marketing and advertising reviews
• Personal trade reviews
• Political contributions reviews
• AML-KYC/CIP support
• Expert network chaperoning

ACA’s ComplianceAlpha^® integrates risk and compliance activities, surveillance and monitoring, testing, and analytics in one platform to provide you with a unified view of risks and behavior across your firm.

ComplianceAlpha Regulatory Technology Solutions that can be included are:

• Compliance Management
• Employee Compliance
• eComms Surveillance
• Marketing Review
• AML KYC/CIP

The registration or application process can seem lengthy, overwhelming, and daunting. We can simplify the process with our SEC, FINRA, CFTC and NFA, and state registration as well as FCA authorization support services. Or if you are launching a new investment management firm, or extending an existing venture, we also offer regulatory hosting through ACA Mirabella. 

Our review services look under the hood of your compliance program to ensure the policies and procedures you’ve set are up to date and appropriate for your firm. We can provide Mock SEC, FINRA, and NFA Exams, as well as FCA Mock Audits, in-depth analysis of your firm’s FCA RegData returns, and your Internal Capital Adequacy Assessment Process (ICAAP). 

State securities laws, or “Blue Sky Laws” are designed to protect a state’s residents against securities fraud. Blue Sky Laws vary widely from state to state. Our expert blue sky team researches each state’s requirements for you, so you’ll only file where required. Our dedicated Blue Sky team is knowledgeable in each state’s requirements.