You need a compliance program you can rely on to protect your firm from reputational, financial, and operational risk – and you need the right people, processes, and technology to do it efficiently.
ACA Signature offers financial institutions scalable consulting solutions that can be paired with managed services, regulatory technology, and cybersecurity to effectively address your regulatory commitments and day-to-day responsibilities.
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The ACA Signature Experience
Delivered by a dedicated team of highly experienced professionals and designed by former regulators and compliance experts, ACA Signature provides solutions tailored to fulfill your firm’s ongoing compliance obligations.
Choose from our three distinctive models – Partner, Core, or Essential – to customize your services according to your firm's size and specific requirements.
Gain a trusted partner to help steer your compliance program
ACA Signature Partner is ideal for firms seeking to outsource compliance. We will become immersed in your firm’s compliance program and carry out necessary functions on your firm’s behalf.
Strengthen the core functions of your compliance program
ACA Signature Core is best for firms seeking to strengthen their compliance program. We will conduct, and report on, your firm’s annual compliance review.
Establish the essentials needed to support your ongoing compliance responsibilities.
ACA Signature Essential is the perfect option for firms looking for help with their critical compliance functions. We will handle these tasks while providing general compliance support to your firm.
The ACA Signature Package
With ACA Signature, you can choose the combination of compliance advisory services, managed services, regulatory technology, and cybersecurity that is right for your firm.
Compliance Advisory Services
Compliance support to develop and maintain a best-in-class compliance program.
- Registration and filing services
- Compliance program maintenance and enhancement
- Management of ongoing compliance obligations
- Compliance program reviews
- Inspection support services
- Compliance training
- Consulting support for compliance and operational questions
- My ACA Services Dashboard and File Exchange for streamlined communication, secure file sharing, and simplified document request management
Optional Managed Services
Ease the burden of repetitive tasks and free your time to focus on the big picture.
This can include:
- Electronic communication reviews
- Marketing and advertising reviews
- Personal trade reviews
Optional Regulatory Technology
Future-proof your compliance program.
ACA’s ComplianceAlpha® integrates risk and compliance activities, surveillance and monitoring, testing, and analytics in one platform to provide you with a unified view of risks and behavior across your firm.
ComplianceAlpha Regulatory Technology Solutions that can be included are:
Gain peace of mind and confidence that your firm is protected.
ACA Aponix® provides cyber risk assessments, policy reviews, threat and vulnerability monitoring, employee trainings, and more for companies of all sizes.
Why work with us?
Our team includes former SEC, FINRA, FCA, NFA, CFTC, and state regulators 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.
Who we help
ACA Signature has tailored services to support:
- Investment Advisers
- Exempt Reporting Advisers (ERAs)
- Financial Operations Principals (FinOps)
- Registered Investment Companies (RICs)
- Business Development Companies (BDCs)
- National Futures Association (NFA) Members (CPOs/CTAs)
- FCA registered firms
As an ACA Signature client, your firm will have year-round support provided by an experienced team committed to delivering quality, high-touch service and solutions tailored to your business.
- Run a compliance program that holds up to regulatory scrutiny
- Make decisions with confidence
- Ease the burden of compliance tasks
- Stay informed and ahead of the regulatory curve
The below services can be included in your ACA Signature program or purchased separately.
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.
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).
State securities laws, or “Blue Sky Laws” are designed to protect a state’s residents against securities fraud. Blue Sky Laws vary widely from state to state. Our expert blue sky team researches each state’s requirements for you, so you’ll only file where required. Our dedicated Blue Sky team is knowledgeable in each state’s requirements.
Outsourced Chief Compliance Officer (OCCO)
With ACA Signature Partner, 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.