A signature is a mark of confidence and a symbol of authenticity and trust. You need a compliance program you can rely on to protect your firm from risk – and you need the right people, processes, and technology to do it efficiently.
Introducing ACA Signature, a scalable solution curated to suit your firm’s unique compliance needs so you can feel confident in your program.
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What is ACA Signature?
With ACA Signature, you can choose the combination of compliance advisory services, innovative regulatory technology, and managed services that is right for your firm.
- Registration and filing services
- Compliance program development and enhancement
- Management of ongoing compliance obligations
- Compliance program reviews, mock exams, and gap analysis
- Inspection support services
- Compliance training
- Consulting support for compliance and operational questions
This can include:
- Electronic communication reviews
- Social media reviews
- Marketing and advertising reviews
- Personal trade reviews
- Political contributions reviews
- AML-KYC/CIP support
- Expert network chaperoning
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:
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.
How it works
ACA Signature puts you in complete control of your compliance program. Choose the combination of compliance advisory services, innovative regulatory technology, and managed services that is right for your firm. Our team will support you through challenges unique to your firm’s business model.
We offer three unique models to allow you to tailor your services to your firm size and needs: Partner, Core, or Essential.
ACA Signature - Partner
Gain a trusted partner to help steer your compliance program
ACA Signature Partner is ideal for firms seeking to outsource compliance. ACA will become immersed into your firm’s compliance program and perform compliance functions on your firm’s behalf.
ACA Signature - Core
Strengthen the core functions of your compliance program
ACA Signature Core is best for firms seeking to strengthen their compliance program. ACA will conduct, and report on, your firm’s annual compliance review.
ACA Signature - Essential
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. ACA handles these functions while providing general compliance support to your firm.
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.
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.
Who we help
ACA Signature has tailored services to support
- Investment Advisers
- Exempt Reporting Advisers (ERAs)
- Broker Dealers
- 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