GRC Compliance Consulting Services

Strengthen your compliance program with our global team of compliance professionals.

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.

Our solutions

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). 

Inspection Support Services

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.

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Packaged compliance solutions

The compliance consulting needs of your firm are unique. Our packaged solutions provide scalable options to receive the best of our consulting, technology, and managed services.

Comprehensive C3 Solution®

Our Comprehensive Customized Compliance (C3) Solution is a full-service package of compliance advisory solutions including: SEC examination support, annual compliance training, an annual subscription to ComplianceAlpha® to streamline your compliance processes, unlimited phone support, annual mock exam and compliance program review, on-call review of compliance documents, marketing and advertising material reviews, compliance manual updates, periodic electronic communication reviews, ongoing form ADV and Form PF reviews, annual PFRD administration, IARD administration, access to our extensive document library, and more.

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Compliance Cornerstone™ + Solution

Our Compliance Cornerstone+ solution offers investment advisers unlimited consultation, access to ACA’s library of compliance documents, and assistance with a customized annual compliance review. In addition, we assist clients in preparing and submitting their annual Form ADV filing.

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Compliance Cornerstone™ Solution

Our Compliance Cornerstone solution offers investment advisers unlimited consultation, access to ACA’s library of compliance documents, and assistance with a high-level off-site compliance review. In addition, we assist clients in preparing and submitting their annual Form ADV filing.

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Comprehensive C3 Solution®

ACA’s Comprehensive Customised Compliance (C3)  is our core level retailed
compliance assurance service for European based firms, providing comprehensive compliance advice and assurance. The offering features compliance framework establishment and maintenance, regulatory inspection, filings and prudential support, training, semi-annual on-site reviews and on-going support with unlimited telephone and email support as the backbone. Optional bolt on services are also available.

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Compliance Retained Services: Foundation

Designed as ACA’s elementary level compliance assurance service, ACA Foundation focusses on the implementation of a comprehensive compliance framework, an annual compliance programme review, training and with a set level of telephone and email support. Optional bolt on services are also available.

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Podcast

The Regulatory Roundtable

ACA Group and Simpson Thacher invite you to our new podcast series, The Regulatory Roundtable, a quarterly podcast offering insight from leading regulatory and enforcement lawyers and compliance specialists. Each episode will feature leading attorneys and compliance specialists with deep knowledge of the funds regulatory landscape who will explore today’s most complex regulatory and compliance issues. We look forward to having you join us at the table. 

woman at desk on video conference call

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

Joshua Broaded

Joshua Broaded

Partner, Co-Head Regulatory Compliance
Carlo di Florio

Carlo di Florio

Chief Services Officer
Adam Palmer

Adam Palmer

Partner, European Regulatory Compliance
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News

Celebrating Asian and Pacific Islander American Heritage Month

May is Asian and Pacific Islander American Heritage Month, and we are happy to celebrate with the launch of our Asian Pacific Islander Employee Resource Group!

ACA Mirabella Awarded HFM's Title of Best Regulatory Hosting Platform

ACA Mirabella are recognised as the hedge funds preferred provider, having once again been presented the title of Best Regulatory Hosting firm at the 2022 HFM European Services Awards. This is the seventh year in a row that ACA Mirabella has taken this title. Learn more about this win here.

Transaction Reporting Still Not a Priority for Firms, Despite Recent ESMA Fine

New research reveals that confidence among financial services firms in the quality of their own transaction reporting is declining – down to 65% from 87% in 2021. This confirms concerns around inaccurate regulatory reporting leading to fears of undetected market abuse and an inability to monitor for systemic risks.

Upcoming events

Compliance Officer: The Roles and Responsibilities - 18 May 2022

The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.

Online Training

2022 SEC Priorities and Focus Areas

We will discuss how the 2022 SEC Examination Priorities, Risk Alerts and new proposed rules may impact your firm and your compliance program.

Webcast

Annual Compliance Training - 7 June 2022

The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.

Online Training