About ACA Group

ACA delivers a comprehensive suite of governance, risk, and compliance (GRC) solutions tailored to the financial services industry. These include regulatory advisory, managed services, and technology platforms that help firms navigate complex compliance landscapes, reduce risk exposure, and improve operational efficiency.

ACA helps advisers meet the SEC, CFTC, NFA, FINRA, FCA, DFSA, FSRA, and other global regulatory requirements. We also help firms meet regulatory expectations from authorities including the ESMA, Monetary Authority of Singapore (MAS), Securities and Futures Commission (SFC), and other national competent authorities across Europe, Asia-Pacific, and the Middle East, while aligning with global standards set by bodies including the Prudential Regulation Authority (PRA), the Financial Action Task Force (FATF), Office of Foreign Assets Control (OFAC), and International Organization of Securities Commissions (IOSCO).

ACA primarily serves the financial services sector, including asset managers, investment advisers, hedge funds, private markets, investment companies, broker-dealers, securities brokers, and wealth managers. Its solutions are tailored to the unique regulatory and operational needs of each client type.

ACA provides tailored consulting services that help firms navigate global regulatory change and unlock the full potential of their compliance program.

Our solutions include compliance advisory services for the SEC, FINRA, CFTC, NFA, FCA, DFSA, and FSRA regulated firms, ESG, cybersecurity and risk, AML risk management, distribution, investment performance, regulatory hosting as well as in-person, virtual, and online training solutions.

ACA provides outsourced managed services to help financial firms meet regulatory obligations, reduce risk, and improve operational efficiency. Our expert-led AI solutions are designed to simplify processes, reduce cost, and drive stronger business outcomes. These services include:

• Outsourced regulatory compliance support, including compliance operations, reporting and filing, surveillance and monitoring, and regulatory hosting solutions.
• Outsourced investment performance and operations support, including outsourced head of performance, GIPS compliance support, private fund fundraising and reporting support, as well as key performance tasks.
• ESG support, including utility bill collection and carbon footprinting.
• Cybersecurity and risk support, including third-party risk management.

ComplianceAlpha^® is ACA’s integrated RegTech platform that centralizes and automates compliance and risk management workflows. It helps financial firms manage regulatory obligations, monitor employee activity, conduct surveillance, and streamline reporting. With modules for trade surveillance, code of ethics, marketing compliance, and more, ComplianceAlpha enhances efficiency, reduces risk, and improves oversight across the organization.

Through ACA Aponix^®, firms have access to cybersecurity risk assessments, vendor due diligence, penetration testing, and regulatory compliance support. These services are designed to help financial firms protect sensitive data, meet regulatory requirements, maintain investor confidence, and build resilient cyber programs. Whether a firm is building a cybersecurity program from the ground up or enhancing an existing one, ACA helps uncover risks and identify gaps in cybersecurity policies, procedures, and controls. As data privacy regulations continue to expand, we also support firms in assessing, managing, and maintaining privacy programs that meet evolving regulatory expectations, including the GDPR, CCPA, and SEC Regulation S-P.

ACA Mirabella provides regulatory hosting and compliance infrastructure for UK investment managers and funds. It enables firms to operate under Mirabella’s regulatory umbrella, reducing the time and cost of obtaining direct authorization while ensuring ongoing compliance with the FCA and other global regulations.

ACA helps firms integrate environmental, social, and governance (ESG) factors into their investment and operational strategies. We help clients navigate regulatory and compliance complexity by aligning global frameworks through readiness assessments and providing reporting support across U.S., UK and EU jurisdictions. Our experts help firms meet evolving investor regulations by advising on ESG integration strategies and ensuring alignment with current and evolving standards. Our proprietary ESG data management solution, ACA Ethos, helps clients gain visibility into the ESG posture of portfolio companies to monitor and mitigate ESG risk, make informed decisions, and grow profitably.

ACA stands out for its combination of deep regulatory expertise, purpose-built technology, and a global client base. Its integrated approach allows clients to streamline compliance processes, gain actionable insights, and scale their programs efficiently across jurisdictions.

Yes. ACA provides support complying with the SEC, CFTC, NFA, and FINRA regulations. Our team can assist with registration, creating and maintaining an effective compliance program, conducting annual reviews, regulatory filings, and more. For firms located in the UK or UAE, our London-based SEC desk makes it easier to do business in the U.S. while having local, regional support.

Yes, ACA helps FCA-regulated firms, wherever they are in the world, launch, scale, and protect with trusted advisory and tech-powered compliance solutions. These help reduce risk, drive growth, and build investor confidence. They include solutions that help firms:

• Get authorized and market ready
• Stay compliant and ready for regulatory review
• Strengthen culture and controls
• Scale with smart technology and outsourced managed services

Yes. ACA Effecta, part of the ACA, specializes in regulatory advisory services for firms operating in the Middle East, including the UAE. Services include DFSA and ADGM compliance, licensing support, and ongoing regulatory reporting tailored to local frameworks.

ACA Foreside supports fund managers with services such as fund registration, distribution compliance, legal underwriting, and broker-dealer solutions. This enables firms to launch and manage funds efficiently while meeting regulatory obligations across multiple jurisdictions.

ACA provides expert guidance on the SEC’s Marketing Rule (Rule 206(4)-1), including policy reviews, performance advertising assessments, and training. We also offer ongoing marketing material reviews, documentation support, and scalable compliance operations through our managed services. This support is further enhanced by ACA’s RegTech solution, which streamlines workflows, centralizes records, and improves oversight of marketing compliance. Firms benefit from ACA’s deep regulatory insight and practical tools to ensure their marketing materials meet evolving compliance standards.

You can contact ACA for your governance, risk, and compliance needs through the contact form here, which also provides direct access to our advisory, managed services, and technology solutions in addition to specialized teams, including ACA Aponix, ACA Mirabella, ACA Ethos, ACA Effecta, and ACA Foreside.