GRC Compliance Advisory Services

Strengthen your compliance program with our global team of compliance professionals.

Compliance teams need continuous support and knowledge sharing to stay on top of global regulatory initiatives. Our team helps you to navigate the evolving regulatory landscape while considering the complexity of your firm’s unique compliance requirements.

Our solutions

Our award-winning compliance advisory services provide firms with tailored support and practical solutions for staying on top of your regulatory obligations.

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

As new rules and regulations are adopted and the regulatory landscape evolves your compliance manual must keep pace or risk leaving your firm exposed.

Our team can assist you with developing and maintaining your compliance manual, policies, and procedures for a range of topical challenges.

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). 

Inspection Support Services

The SEC targets registered investment advisers both domestically and across the globe for inspections as part of its risk-focused exam strategy. When you are selected to be examined our team can assist your firm before, during, and after the exam by reviewing and organizing requested documents, assisting with deficiency letter response writing, and more.

Gain more time in your day by outsourcing day-to-day compliance tasks that slow you down. Our team can support you with electronic communication reviews, online presence/social media reviews, holistic surveillance, marketing and advertising and financial promotion reviews, AML-KYC/CIP support, expert network chaperoning, regulatory filings, and more. 

As the regulatory framework becomes ever more complex, the requirement for training and enhanced staff knowledge and competencies becomes more important. Keep up to date on key regulatory and industry issues with in-person employee compliance training led by our consulting team.

We offer dedicated outsourced Chief Compliance Officers (OCCOs) for registered investment advisors. Our team of professionals include former in-house CCOs and attorneys. We will customize our services to meet your specific needs. 

FINOP Accounting Services

We provide experienced Financial and Operations Principals (FINOPs) and professional accounting services to keep you in compliance. Our licensed Series 27 and Series 28 professionals have years of financial experience working with FINRA and the SEC and can help support your firm.

Fund Officer Services

Our Fund Officer model provides a hands-on, tailored approach by placing experienced and independent Fund Officers close to the Fund’s Board of Trustees. They are exposed to multiple administrators, counsel, and advisors, and have valuable industry perspective allowing for a better understanding of best practices.

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Packaged compliance solutions

The compliance advisory needs of your firm are unique. Our packaged solutions provide scalable options to receive the best of our advisory, technology, and managed services.

Comprehensive C3 Solution® Annual

Our Comprehensive Customized Compliance (C3) Solution is a full-service package of compliance advisory solutions including: SEC examination support, annual compliance training, an annual subscription to ComplianceAlpha® to streamline your compliance processes, unlimited phone support, annual mock exam and compliance program review, on-call review of compliance documents, marketing and advertising material reviews, compliance manual updates, periodic electronic communication reviews, ongoing form ADV and Form PF reviews, annual PFRD administration, IARD administration, access to our extensive document library, and more.

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Comprehensive C3 Solution® Quarterly

For firms looking to create a more agile and responsive compliance program, ACA’s Comprehensive Customized Compliance C3 Solution® now provides an option for quarterly reviews with more frequent touchpoints. 

ACA’s compliance advisory services paired with innovative regulatory technology and managed services provides firms with a complete view of their compliance program - from development to execution to testing. Your firm will have ACA’s consulting team's support year-round as a guide and partner in creating a scalable and resilient compliance program.

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Compliance Cornerstone™ + Solution

Our Compliance Cornerstone+ solution offers investment advisers unlimited consultation, access to ACA’s library of compliance documents, and assistance with a customized annual compliance review. In addition, we assist clients in preparing and submitting their annual Form ADV filing.

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Compliance Cornerstone™ Solution

Our Compliance Cornerstone solution offers investment advisers unlimited consultation, access to ACA’s library of compliance documents, and assistance with a high-level off-site compliance review. In addition, we assist clients in preparing and submitting their annual Form ADV filing.

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Comprehensive C3 Solution®

ACA’s Comprehensive Customised Compliance (C3)  is our core level retailed
compliance assurance service for European based firms, providing comprehensive compliance advice and assurance. The offering features compliance framework establishment and maintenance, regulatory inspection, filings and prudential support, training, semi-annual on-site reviews and on-going support with unlimited telephone and email support as the backbone. Optional bolt on services are also available.

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Compliance Retained Services: Foundation

Designed as ACA’s elementary level compliance assurance service, ACA Foundation focusses on the implementation of a comprehensive compliance framework, an annual compliance programme review, training and with a set level of telephone and email support. Optional bolt on services are also available.

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Podcast

The Regulatory Roundtable

ACA Group and Simpson Thacher invite you to our new podcast series, The Regulatory Roundtable, a quarterly podcast offering insight from leading regulatory and enforcement lawyers and compliance specialists. Each episode will feature leading attorneys and compliance specialists with deep knowledge of the funds regulatory landscape who will explore today’s most complex regulatory and compliance issues. We look forward to having you join us at the table. 

woman at desk on video conference call

Why work with us?

Our team includes former SEC, FINRA, FCA, NFA, CFTC, and state regulators along with former along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions. We offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value. With ACA, you can feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to support you through every step of the process.

Our leadership team

Carlo di Florio

Carlo di Florio

Global Advisory Leader
Joshua Broaded

Joshua Broaded

Co-Head Regulatory Compliance
Mark Alcaide headshot

Mark Alcaide

Co-Head Regulatory Compliance
Adam Palmer

Adam Palmer

Head of European Regulatory Compliance
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News

ACA’s ESG Data and Analytics Solution Recognized for Its Impact on ESG Portfolios

Financial Services Review has named ACA Group’s ESG Data and Analytics solution, Ethos ESG, a “Top Wealth Management Solutions Provider” for 2022.

ACA Group Announces Its Adoption of the CFA Institute Diversity, Equity, and Inclusion Code

ACA adopts the DEI Code, an action-oriented and principles-based framework through which to drive meaningful change concerning diversity, equity, and inclusion.

ACA’s ESG Data & Analytics Solution Certifies First Plant-Based ETF as Carbon Neutral

VegTech™ Invest’s Plant-Based Innovation & Climate ETF is recognized as the first plant-based innovation solution to meet ACA’s rigorous carbon neutrality certification

Upcoming events