The registration or application process can seem lengthy, overwhelming, and daunting. Whether you seek authorization for the first time or are an established regulated firm looking to move into a new line of business, we can help you avoid unnecessary complications and delays.
Our team will simplify the process by assisting with your initial application or filing, supporting the set-up and implementation of your compliance program, and providing ongoing support.
With a client base of over 3,500 firms, our filing compliance solution services have successfully assisted thousands of firms through the registration and authorization process.
Our team includes former SEC, FINRA, FCA, NFA, CFTC, OCC, 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.
We explain the benefits of this type of funding and the considerations to take into account before choosing to do so.
While different financial markets offer significant opportunities, there are a number of things to consider before launching in a new jurisdiction.
Institutional investment managers with significant short positions must adopt new monthly reporting practices to meet SEC requirements.
In today's complex financial landscape, SEC-regulated firms face increased scrutiny around the monitoring and reporting of employees' personal trading activities.
The SEC recently fined broker-dealers for SARs filings that failed to meet regulatory requirements.
To help firms better understand and manage AI risks, ACA and the NSCP partnered to explore how financial firms are utilizing AI and what controls they are putting in place to manage risks inherent in the new technology.
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
ACA Group introduces advanced features to its ACA Vantage for ESG platform, leveraging AI to help clients verify ESG data and streamline data management processes. This innovative solution empowers organizations to efficiently manage ESG requirements with greater accuracy and ease.
ACA Group Recognized at Pittsburgh Technology Council’s Tech 50
Join us on Monday, December 16, 2024, at 11am ET when we will share practical insights into preparing for residential office classifications and planning remote and onsite inspections in 2025.
Join us for a live webcast where we’ll explore the significant advantages of conducting a mock SEC exam.
Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.