Solutions

Broker-Dealer Chaperoning Services Expand your fund distribution into the U.S. with confidence. ACA Foreside provides broker-dealer chaperoning services under SEC Rule 15a-6, helping non-U.S. asset managers and broker-dealers market private funds to U.S. Institutional Investors (USIIs) and Major U.S. Institutional Investors (MUSIIs)—without the need to register as a U.S. broker-dealer with FINRA. Complete the form […]

ACA Signature Scalable Regulatory Compliance Solutions You need a compliance program you can rely on to protect your firm from reputational, financial, and operational risk—and you need the right people, processes, and technology to do it efficiently. ACA Signature offers scalable consulting solutions that can be paired with managed services, regulatory technology, and cybersecurity to

ETF Solutions Launch your ETF with ACA Foreside as your partner. Contact Us Bringing an exchange-traded fund (ETF) to market requires key regulatory partners. As a FINRA-member broker-dealer, we act as your statutory distributor and legal underwriter, helping you meet regulatory obligations and launch with confidence. Our ACA Foreside team supports over 1,200 ETFs across

Open Banking Resource Page The Open Banking Standard is slowly being adopted by banks and brokers across the world. Your experience with ComplianceAlpha^® and the way the Employee Compliance solution links to your brokerage accounts is about to get easier! As of March 10, 2022, ACA enabled the first Open Banking connections, and additional connections

Outsourced Chief Compliance Officer Protect your business and simplify compliance with trusted OCCO support. Our Outsourced Chief Compliance Officer (OCCO) service gives you access to seasoned compliance professionals backed by a full team of regulatory experts, former regulators, technology, and managed services specialists.  Whether you’re an SEC-registered investment adviser (RIA), a private fund, or an

Transaction Cost Analysis Solution Analyze trading performance, manage execution costs, and support best execution compliance with advanced trading analytics Trading costs impacted by periods of volatility, fragmented liquidity, and evolving global regulations create ongoing challenges for execution oversight. ACA’s Transaction Cost Analysis (TCA) solution provides firms with advanced analytics and reporting to optimize execution, reduce

UAE Compliance Advisory and Support Enhance regulatory readiness and resilience with ACA Effecta’s solutions for the Middle East. Understanding the complexities of the UAE’s regulatory environment can be challenging, with unique requirements and obstacles to address. Is your firm equipped to meet these standards and stay compliant in a rapidly changing landscape? Our specialists can

Regulatory Compliance Mock Exams Make sure your firm is prepared to handle a regulatory review by the SEC, NFA, FCA, FSRA, or DFSA. Is your firm prepared for regulatory scrutiny? With increasing regulatory scrutiny, firms must prove compliance. Our document assessments, interviews, trade analytics, and compliance testing, led by former regulators, provide actionable insights to

Cybersecurity and Risk Technology for Financial Firms Protect your firm, meet regulatory expectations, and build investor trust. Cybersecurity isn’t just a technology issue—it’s a business imperative. Financial firms face increasing scrutiny from regulators, investors, and clients, and the consequences of compliance failures, data breaches, or operational lapses can be severe. That’s why ACA’s ComplianceAlpha^® platform

eLearning Compliance Training​ Our library of interactive courses is designed to educate and empower employees across critical compliance areas. Accessible, engaging, and tailored to the unique needs of global financial services organizations, these courses drive measurable compliance improvements.​ Explore the ACA course library Our training portfolio includes proprietary ACA courses and offerings from Traliant, a