GRC Managed Services

Marketing and Advertising Reviews

Outsourcing marketing and advertising review allows your firm to significantly reduce the amount of time and resources devoted to the marketing and advertising review process.

Our skilled compliance professionals can step in during periods of high volume or assist your firm with enhancing collateral review workflows and protocols. We will help your firm identify potential business and compliance risks that could lead to problems with your key stakeholders: regulators, clients, and prospective clients.

Regulatory Filings (Form ADV, Form PF, Form 13F, 13G, 13H, AIFMD, CPO-PQR, etc.)

Investment advisers and broker-dealers must meet various regulatory filings requirements or else face potential monetary penalties and reputational damage. However, the regulatory filings process can be time-consuming and error-prone when done manually in-house.

We combine technology with managed services to provide investment advisers and broker-dealers with a cost-effective, full-service offering designed to help streamline complex reporting requirements, improve data accuracy, and reduce the operational costs related to regulatory filings.

Our regulatory filings specialists can help your firm draft, review, and file applicable filings on your firm’s behalf. We use ACA’s proprietary regulatory reporting platform for most filings to reduce risk and increase operational efficiencies

Expert Network Consultation Chaperoning

Our team is available to listen to consultations, document observed inconsistencies with policies and procedures, and provide a report of any findings after the meeting.

A member of our team will join expert network consultations in listen-only mode, on an announced or unannounced basis. We will document the consultation, note inconsistencies, and identify potential compliance risks and violations. 

We will provide a written summary report of the consultation in which we highlight aspects that warrant further review. Additionally, we can be available to discuss our findings if necessary.

Electronic Communications and Online Presence Reviews

Electronic Communications

An effective email review program is critical for preventing, among other things, misuse of material non-public information by an adviser or an adviser’s employees. Our team specializes in conducting thorough reviews of electronic communications to help firms meet their regulatory obligations in this area.

Online Presence and Social Media

Many firms are concerned with how their employees use social media or other websites for business purposes, and with the general unknown of what information about the firm or its business dealings is being posted online. Despite that concern, compliance officers may not have the resources necessary to perform periodic, comprehensive reviews of their employees’ online activity. While some firms are able to monitor employee activity on widely known, popular social media sites, they may not be aware of activity on lesser-known websites and social media forums, such as those that are geared toward traders or that focus on investment ideas.

Our team will assist your firm’s compliance department with identifying online activity that could pose compliance or reputational issues for your firm. This service also can assist your firm with addressing regulatory guidance on the use of social media by investment advisers and their employees.

Trade Surveillance

Regulators globally are using cutting-edge technologies to identify potential insider trading, market abuse, and other misconduct, resulting in record-breaking fines and enforcement. Our trade surveillance solutions are designed to help your firm effectively, diligently, and proactively manage its firm-wide and employee trading risk in a way that meets regulatory expectations and industry best practices.

We offer a range of trade surveillance solutions designed to meet your firm’s business needs, including:

• Market Abuse Surveillance Solution
• Employee Compliance Solution
• Enhanced Trade Blotter Review Service
• Holistic Surveillance Solution

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Anti-Money Laundering - Know Your Customer and Customer Identification Program Support

Firms that aim to mitigate their regulatory risks, keep pace with industry best practices, and satisfy inquiries from prospective investors increasingly need support to evolve and maintain their anti-money laundering (AML) programs.

Compliance teams globally are tasked with meeting requirements under various Know Your Customer (KYC) and Customer Identification Program (CIP) regulations, or they can face significant fines. In 2019 alone, there were over $8B AML compliance fines globally, and penalties have continued to trend upward since 2015.

Our AML KYC/CIP Solution is designed to assist your firm in developing and implementing effective AML practices that meet industry best practices and comply with applicable laws and regulations in the U.S., Europe, and Cayman Islands. Our solution combines ComplianceAlpha^® regulatory technology with managed services to help your firm meet its data screening, ongoing monitoring, remediation, and reporting needs.

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