GRC Managed Services

Outsourced Marketing and Advertising / Financial Promotions Reviews

Our skilled compliance team can assist with regulatory review while enhancing collateral review workflows and protocols, allowing your firm to significantly reduce the amount of time and resources devoted to this process. ​  

We can review your marketing material and provide guidance on key regulatory expectations and best practices. 

Some common focus areas are: 

• Performance claims 
• Benchmark usage 
• Performance portability 
• Testimonials 

This can be used in collaboration with the Marketing Review module in our award-winning integrated regulatory technology platform, ACA ComplianceAlpha^®.

Electronic Communications and Online Presence Reviews

Electronic Communications

We specialize in conducting risk-based reviews of electronic communications to help firms meet regulatory obligations and identify effectiveness of existing trainings, policies, and procedures. Our team includes specialized analysts with a wealth of benchmarking expertise based on thousands of electronic communications reviews and peer searches.​

Clients looking for the optimal best practices and investment in risk mitigation will benefit from our combined managed services and eComms Surveillance module in our ACA ComplianceAlpha^® RegTech platform.

Social Media and Online Presence Review

Our social media and online presence reviews can assist your firm with identifying public online activity that could pose compliance or reputational issues. ​

This service can also assist your firm with addressing regulatory guidance on the personal use of public-facing social media by investment advisers and their employees.

Code of Ethics and Personal Trading System Support

Our dedicated specialists can help manage your firm’s code of ethics and personal trading activity, reducing the burden of administration in an efficient and cost-effective manner.​

We’ll provide a case manager for ongoing employee guidance and investigating items of interest (IOI) while supporting your compliance program with personal trade reviews, account reconciliations, employee certification maintenance, and more.

This service is optimized when leveraging the Employee Compliance module in ACA’s ComplianceAlpha^® award-winning regulatory technology platform that integrates risk and compliance activities, automated surveillance, ongoing monitoring, flexible workflows, and enhanced analytics.

Regulatory Filings

Our regulatory filings analysts can help aggregate, review, and submit applicable filings on your firm’s behalf. This is a cost-effective, full-service offering, designed to streamline complex global reporting requirements, improve data accuracy, reduce talent burnout and manage operational costs.​

Supervisory Requirements and Legislations include:

• SEC
  • Form ADV
  • Form13F, 13H
  • Schedule 13G
  • Form PF
  • Marketing rule
• FCA/ESMA
  • AIFMD/Annex IX
  • MiFID
• ESMA
  • SFDR
  • CBDF
• FINRA
  • Form U4, U5
  • Form BD
  • Form BR

Expert Network Chaperoning (and Recorded Calls Reviews)

Our analyst team helps address growing regulation around material non-public information (MNPI) and the increasing need for risk-based chaperoning.​

We can chaperone your calls or virtual meetings, noting any observes inconsistencies with policies and procedures or potential risks, and escalate any significant notes immediately to internal compliance contacts.

This solution is ideal to help tackle resource restraints and concerns around potential associated business and compliance risks that could lead to problems with regulators, clients, and prospects.

We utilize our in-house technology and optimized workflows for most filings to reduce risk and increase efficiencies.

Anti-Money Laundering (AML) Due Diligence Support KYC/CIP Onboarding and AML Screening

Our AML DD and KYC/CIP solution is designed to assist your firm implement effective AML processes that meet industry best practices and comply with applicable local laws and regulations. ​

Our solution combines ACA’s ComplianceAlpha^® regulatory technology powered by ComplyAdvantage with our AML managed services analysts to help your firm meet its document review, data screening, ongoing monitoring, remediation, and reporting needs.