Best Practices for Outsourcing Cybersecurity Needs
We will discuss how to identify the right Managed Service Providers to fit your firm's strategy, and understand the effectiveness of the MSPs your firm works with.
Webcast
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.
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.
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.
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.
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.
Compliance Alert
- Compliance
2021: The Year in Review
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.
Compliance Alert
- Compliance
Key Regulatory Timelines for 2022
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.
Article
- Compliance
- ESG
- Brexit
- SEC
- Managed Services
- Trade & Transaction
2022 Regulatory Filings Calendar
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.
Article
- Compliance
Private Markets Quarterly Update 2021 Q4
Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.
Newsletter
- Compliance
Hedge Fund Quarterly Update 2021 Q4
Learn more about recent regulatory developments industry insights in our Hedge Fund Quarterly Newsletter.
Newsletter
- Compliance
- SEC
Our leadership team
Carlo di Florio
Global Advisory Leader
Joshua Broaded
Co-Head Regulatory Compliance
Mark Alcaide
Co-Head Regulatory Compliance
Adam Palmer
Head of European Regulatory Compliance
News
New SEC Marketing Rule Master Class Podcast Released
We are pleased to announce the release of our new master class series on the SEC’s Marketing Rule! Sponsored by the NSCP and ACA Group and developed by Patrick Hayes, host of the Compliance In Context Podcast, and Carlo di Florio, ACA Group’s Global Advisory Leader.
ACA Group Selected as an AIFinTech100 Company for 2022
ACA Group has been named one of the 100 most innovative AIFinTech companies in the financial industry by FinTech Global.
2022 Investment Management Compliance Testing Survey Results Released
For the second year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one worry for investment adviser compliance officers, according to the 2022 Investment Management Compliance Testing Survey.