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Who We Serve

Over 3,500 leading financial services firms trust us to help them protect and grow their business.

Connect with us to learn more

Firm types we serve

Bank Asset Managers

We provide bank asset management groups engaged in trust, custody, and investment management activities with risk, compliance, and internal audit consulting services leveraging techniques used by banking regulators and industry leaders.

Broker-Dealers

We help implement compliance and supervisory programs that address FINRA and SEC regulations.

CFTC/NFA Members

We help CFTC registrants and NFA members to streamline their business and operational processes and improve the quality and effectiveness of their compliance programs.

Digital Asset Managers

We help firms align their advisory processes with regulatory requirements and the expectations of the SEC and the CFTC.

Hedge Funds

We help hedge fund managers enhance their operational and business processes and comply with the Investment Advisers Act of 1940 and industry best practices.

Investment Advisers

We help investment advisers ensure their compliance with the Investment Advisers Act of 1940 and industry best practices.

Mutual Funds, ETFs, and Other Investment Companies

We help prepare registered investment companies, as well as their boards, sponsors, advisers, sub-advisers, and service providers, for the rigors of SEC examinations.

Private Markets

We help private equity, private debt, venture capital, and real estate fund managers as well as their portfolio companies comply with the Investment Advisers Act of 1940 and industry best practices.

Private Equity Sponsors and Portfolio Companies

We work closely with investment and operations teams providing pre-and post-deal technology, cybersecurity, privacy, and ESG transaction advisory services and portfolio company oversight.

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Our market share

Money Managers

88%

Of the top 50 money managers, as noted in the ADV Ratings September 2020 ranking data

Hedge Fund Managers

85%

Of the top 100 hedge fund managers, as noted in the May 2020 edition of Hedge Fund Alert

Private Equity Funds

84%

Of the top 100 private equity funds, as noted in the May 2020 PEI 300

Learn more about our solutions
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Trusted by leading financial services firms worldwide

We work with over 3,500 financial services firms worldwide to build scalable and progressive GRC programs that help them protect and grow their business. Our innovative and scalable approach integrates expert advisory, on-demand managed services, and award-winning technology that can be tailored to your unique needs.

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Helping risk and compliance functions across your firm

  • Risk and Compliance Leaders
  • Risk and Compliance Teams
  • General Counsel and Legal Teams
  • Marketing and Performance Teams
  • ESG Teams
  • CIOs/CTOs/CISOs
  • Information Technology and Security Teams
  • Investor Relations Teams

News

96% of Firms Unprepared for the FCA’s New Prudential Regime

With less than six months to go until UK investment firms are subjected to a completely new prudential regime, a recent survey reveals that the industry is vastly underprepared. The data shows that just 4% of respondents are ready and capitalised for the FCA’s new Investment Firm Prudential Regime (IFPR) coming into effect in January 2022. Learn more about what this means for firms.

Waters Rankings 2021 Name ACA Group's ComplianceAlpha® Best Anti-Money Laundering Compliance Solution Provider

Our ComplianceAlpha® platform has been named Best Anti-Money Laundering Compliance Solution Provider in the Waters Rankings 2021.

ACA's Regulatory Reporting Monitoring & Assurance (ARRMA) service winner of the 2021 HFM European Technology Awards

Within a year of launching, ACA Group is delighted to announce that our ACA Regulatory Reporting Monitoring & Assurance (ARRMA) service has been selected as Best Regulatory Reporting Solution in the 2021 HFM European Technology Awards.

Upcoming events

Senior Management Obligations under the SM&CR - 11 August 2021

The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).

Online Training

Compliance Induction - 17 August 2021

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.

Online Training
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