The Most Wonderful Time of The Year: Tailoring Your Annual Compliance Review
Join our experienced ACA Wealth experts who will discuss an investment adviser’s obligations for the annual compliance review required under Rule 206(4)-7.
Compliance teams need continuous support and knowledge sharing to stay on top of global regulatory initiatives. Our regulatory compliance consulting team helps you to navigate the evolving regulatory landscape while considering the complexity of your firm’s unique compliance requirements.
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.
ACA Signature provides financial firms with scalable consulting solutions that can be paired with innovative technology and managed services for staying on top of their regulatory and daily obligations. Our team of regulatory experts can build, enhance, or manage your compliance program helping to mitigate risks and increase operational efficiency.
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.
Your ACA Signature experience is provided by a dedicated team of highly experienced professionals. Designed by former regulators and regulatory compliance service experts, ACA Signature provides services and solutions tailored to fulfill your firm’s ongoing compliance obligations.
Request a Free Phone Consultation with our Chiropractor to see if you are a good candidate.
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.
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.
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.
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's GRC consulting services, 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.
ACA Group Recognized at Pittsburgh Technology Council’s Tech 50
Jody Kochansky Joins ACA to Lead Product and Engineering
Acquisition strengthens ACA’s outsourced financial operations offering for broker-dealers.
Join our experienced ACA Wealth experts who will discuss an investment adviser’s obligations for the annual compliance review required under Rule 206(4)-7.
Join us on Thursday, November 12, 2024, at 11am ET, for an insightful webcast when we delve into the SEC’s Examination Priorities for 2025.