Expert Compliance Advisory and Consulting Services
Partner with ACA for trusted compliance advisory services.
Regulatory expectations are constantly evolving. Our expert advisory services guide you through every twist and turn. With tailored solutions, we help you build robust compliance programs and seamlessly navigate complex regulatory landscapes.
Whether you’re a hedge fund, asset manager, broker-dealer, private equity firm, or institutional investor, we can help.
Curious to learn more? Strengthen your compliance program with our global team of compliance consulting professionals today.
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Expert Team
compliance professionals, including 60+ former regulators and 90+ former in-house CCOs.
Trusted Partner
firms supported in their launch, registration, and authorization, including SEC, FCA, FINRA, CFTC, DFSA, and FSRA applications.
Satisfied Clients
satisfaction score for our expertise, responsiveness, recommendations, and ability to understand our client’s business.
What Do You Need Help With?
Our global regulatory compliance consulting team helps you address evolving expectations across key jurisdictions—including those set by the SEC, FCA, FINRA, NFA, CFTC, DFSA, and FSRA— while considering the complexity of your firm’s unique compliance requirements.
Authorization & registration services
Simplify US, UK, and EU applications.
Compliance program development and enhancement
Develop compliance manuals, policies.
Compliance program and thematic reviews, mock exams, gap analysis
Identify weaknesses and conduct health checks.
Consulting services
Advisory services, RegTech, ESG, and cybersecurity.
E-learning and education
Consultant-led training and on demand e-learning.
FINOP accounting services
Outsourced registered FINOP and outsourced accounting functions.
Fund officer services
Placing experienced officers close to the board.
Inspection support services
Document review, personnel prep, chaperoning.
Liquidity risk and prudential services
Manage ICARA process and liquidity rules.
Outsourced chief compliance officer (OCCO)
Leverage compliance experts for quality and scalability.
Regulatory filings
Draft, review, and file efficiently with our global specialists.
Regulatory hosting
Gain faster access to the UK and European markets with ACA Mirabella
Senior manager obligations
Prepare and file FCA applications under SM&CR. Training and document maintenance.
Trade and transaction reporting services
Identify and fix MiFIR and EMIR reporting exceptions.
Leverage compliance experts for quality and scalability.
Leverage compliance experts for quality and scalability.
Simplify U.S., UK, and UAE applications.
Identify weaknesses and conduct health checks.
Consultant-led training and on-demand e-learning.
Placing experienced named officers on registered fund boards.
Manage ICARA process and liquidity rules.
Draft, review, and file efficiently with our global specialists.
Prepare and file FCA applications under SM&CR, provide training, and maintain required documentation.
Leverage compliance experts for quality and scalability.
Develop compliance manuals and policies.
Hourly engagement and project work.
Outsourced registered FINOP and accounting functions.
Document review, personnel prep, and chaperoning.
Gain faster access to the UK and European markets with ACA Mirabella.
Identify and fix MiFIR and EMIR reporting exceptions.
Execute targeted monitoring activities and reviews tailored to your firm’s framework.
Enhance regulatory readiness and resilience with ACA Effecta’s solutions for the Middle East.
Not Sure Which Solution You Need?
Simply book a call with one of our specialists. They will guide you through the regulatory compliance consulting services available and help you build a plan perfect for your needs.
Tackle Compliance Challenges with Confidence
Trust ACA for expert compliance advisory services.
Our consultants deliver practical guidance and tailored solutions to help you stay ahead of evolving regulations.
Why ACA?
Discover the ACA difference in compliance excellence, where skilled specialists, innovative technology, and tailored solutions enhance efficiency, reduce risk, and deliver superior results. Here’s what sets us apart:
Expertise and Guidance
Access to former SEC, FCA, FINRA, NFA, CFTC, DFSA, FSRA, and state regulators and specialists for tailored global advice.
Compliance Assurance
Gain assurance through our experience. Adapt to evolving standards and minimize risk.
Operational Efficiency
Streamline compliance processes, cut costs.
ACA Signature
Scalable consulting solution designed to help financial institutions meet their regulatory obligations and streamline their day-to-day compliance operations. It combines expert advisory support with optional regulatory technology, cybersecurity, and managed services to build, enhance, or manage your compliance program.
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