Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.
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 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 GABRIEL 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.
Packaged compliance solutions
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.
Comprehensive C3 Solution®
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.
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.
Why work with us?
Featured compliance insights
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.
- Regulatory Technology
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.
Our leadership team
Joshua Broaded, CFA, is a Partner and Co-Head of ACA’s Regulatory Compliance practice in the United States.
Carlo di Florio
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.
There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.
Former global prime broker and industry consultant joins multi-award-winning regulatory hosting division
ACA Aponix selected as the winner of the Cybersecurity Technology Award by The DrawDown Private Equity Service Provider Awards.
Join us Thursday, March 11 at 11:00 am EST for a live webcast on FINRA Priorities and Hot Topics to learn more about how the recently released priorities may impact you and your compliance program.
The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.