Welcome to the culmination of our seven-part series on Building a Gold Standard Compliance Program. In Session 7, we turn our attention to the ongoing challenge of updating and maintaining your compliance program to meet new and evolving business demands.
GRC Compliance Advisory Services
Compliance teams need continuous support and knowledge sharing to stay on top of global regulatory initiatives. Our team helps you to navigate the evolving regulatory landscape while considering the complexity of your firm’s unique compliance requirements.
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Our award-winning compliance advisory services provide firms with tailored support and practical solutions for staying on top of your regulatory obligations.
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.
As new rules and regulations are adopted and the regulatory landscape evolves your compliance manual must keep pace or risk leaving your firm exposed.
Our team can assist you with developing and maintaining your compliance manual, policies, and procedures for a range of topical challenges.
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).
The SEC targets registered investment advisers both domestically and across the globe for inspections as part of its risk-focused exam strategy. When you are selected to be examined our team can assist your firm before, during, and after the exam by reviewing and organizing requested documents, assisting with deficiency letter response writing, and more.
Gain more time in your day by outsourcing day-to-day compliance tasks that slow you down. Our team can support you with electronic communication reviews, online presence/social media reviews, holistic surveillance, marketing and advertising and financial promotion reviews, AML-KYC/CIP support, expert network chaperoning, regulatory filings, and more.
As the regulatory framework becomes ever more complex, the requirement for training and enhanced staff knowledge and competencies becomes more important. Keep up to date on key regulatory and industry issues with in-person employee compliance training led by our consulting team.
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.
We provide experienced Financial and Operations Principals (FINOPs) and professional accounting services to keep you in compliance. Our licensed Series 27 and Series 28 professionals have years of financial experience working with FINRA and the SEC and can help support your firm.
Our Fund Officer model provides a hands-on, tailored approach by placing experienced and independent Fund Officers close to the Fund’s Board of Trustees. They are exposed to multiple administrators, counsel, and advisors, and have valuable industry perspective allowing for a better understanding of best practices.
Product Spotlight: ACA Signature
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.
What is ACA Signature?
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 compliance experts, ACA Signature provides services and solutions tailored to fulfill your firm’s ongoing compliance obligations.
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.
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.
Our leadership team
Carlo di Florio
Featured Compliance Insights
Introducing ACA Vantage for ESG; a straightforward and comprehensive solution to track and analyze ESG data, and support PE, private credit, and leveraged loan portfolios.
ACA Group (ACA) is honored to be recognized by the exchange-traded fund (ETF) industry for two awards during the 2023 ETF Express U.S. Awards.
ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.