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.
The compliance consulting needs of your firm are unique. Our packaged solutions provide scalable options to receive the best of our consulting, technology, and managed services.
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.
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.
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.
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.
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.
Keep pace with the evolving scope of the compliance function, solve key leadership and management challenges, and feel confident in your decisions. ACA’s Compliance Leaders Network (C-LEAD) is a membership-based group of compliance thought leaders, backed by ACA’s dedicated research and analytics team and staff of experienced consultants. Join our exclusive network of leading professionals.
Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.
Regulatory change, COVID-19 fallout, and a rapidly mutating ecosystem of risks make this a challenging year for financial services firms. In our complimentary whitepaper, we examine the future of risk and compliance and how firms must respond to rapidly evolving circumstances.
This white paper will explore the many compliance concerns asset managers should keep in mind when obtaining and utilizing alternative data to ensure compliance with the SEC's compliance rule.
Investors have seen stocks soar to extreme heights driven, in large part, by the concerted efforts of participants in an online forum. These developments create a number of significant risks for investment advisers.
A summary of key tasks for compliance teams with a European presence, along with a summary of FCA’s priorities during 2021, our analysis of key regulatory developments and an outline of longer-term trends.
To help you stay on track with your firm’s regulatory reporting obligations, we’ve put together a printable calendar with key deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.
Joshua Broaded, CFA, is a Partner and Co-Head of ACA’s Regulatory Compliance practice in the United States.
Carlo di Florio is the Global Chief Services Officer of ACA Group.
Adam Palmer is a London based partner, and head of our European Regulatory Compliance practice.
Dan Smith, CFA, is a Partner and Co-Head of ACA's Regulatory Compliance practice in the United States.
Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.
The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.
ACA Group (ACA), a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions, today announced that it has entered into a strategic partnership with the Investment Adviser Association (IAA), a leading organization dedicated to advancing the interests of investment advisers.
The dramatic increase in sophistication and global reach of cyber incidents in 2021 has led cybersecurity to be a growing concern for organizations of all sizes. Join us for the horrifying retelling of the scariest cyber incidents of the past year.
The compliance date for the SEC's New Marketing Rule is November 4, 2022. With 1 year to go, ACA’s team of experts have put together a suggested preparation timeline guide to help firms prepare to implement the changes necessary to comply.
The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).