GRC Compliance Advisory Services
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.
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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).
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.
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.
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.
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.
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.
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.
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.
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.
- Learn more about our European C3 solution
- Compare this solution with other European compliance retained services
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.
- Learn more about our Compliance Retained Services: Foundation for European firms
- Compare this solution with other European compliance retained services
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.
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.
Featured compliance insights
Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.
SEC’s Examination Division Shares Observations Relating to Common Deficiencies Uncovered in Private Fund Manager Examinations
On January 27, 2022, the SEC’s Division of Examinations (EXAMS) shared observations relating to common deficiencies uncovered in the examination of private fund advisers over a five-year period. These observations are a sequel to, and supplement, the observations EXAMS shared in their June 2020 risk alert. In our in-depth analysis, we cover what firms need to know about this risk alert.
As you look ahead to 2022, here are a few of 2021’s key regulatory and industry highlights that may impact how you prioritize year-end compliance tasks, allocate resources, and plan future initiatives.
To help firms prepare for the new year, we’ve created a simple visual timeline of key financial services regulatory milestones for you to download, keep, and reference throughout 2022.
- Managed Services
- Trade & Transaction
Download a printable calendar with key regulatory filing deadlines for the SEC, CFTC, NFA, FCA, and ESMA in addition to national holidays at a glance.
Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.
Our leadership team
Carlo di Florio
We are delighted to be named one the 100 most innovative RegTech companies in the financial industry by FinTech Global and RegTech Analyst for the 5th time!
Acquisition continues to reinforce ACA’s suite of leading GRC professionals and diversified services
Financial Services Review has named ACA Group’s ESG Data and Analytics solution, Ethos ESG, a “Top Wealth Management Solutions Provider” for 2022.