GRC Solutions for Investment Advisers

A tailored, well-functioning compliance program is a key success factor in today’s increasingly challenging business and regulatory environments. We help our clients manage regulatory compliance, cybersecurity and risk, ESG, and performance verification through our innovative integration of consulting, managed services, and technology.

Our solutions

Our services are designed for firms of all sizes help ensure their compliance with the Investment Advisers Act of 1940 and industry best practices.

Address financial crimes-related threats and regulatory concerns with our team of former regulators and auditors.

Strengthen your compliance program with our global team of compliance professionals.

Build cyber and operational resilience across your firm with our team of cybersecurity and technology risk experts.

Maximize your firm’s time and efficiency with our technology-powered managed services.

Gain clarity on your firm’s ESG requirements and build a strong compliance program with our dedicated ESG advisory practice.

Get your firm up and running quickly with our regulatory hosting support.

Stay in compliance with the GIPS® standards and investment performance rules with the world’s largest team of GIPS standards verifiers.

Build a more scalable and resilient compliance program with our ComplianceAlpha® regulatory technology software platform backed by managed services support.

Overcome your Brexit challenges and continue to access the UK markets with our solutions.

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Solution Spotlight

Comprehensive C3 Solution

Our Comprehensive Customized Compliance (C3) Solution is a full-service package of compliance advisory solutions including: SEC examination support, annual compliance training, an annual subscription to ComplianceAlpha® to streamline your compliance processes, unlimited phone support, annual mock exam and compliance program review, on-call review of compliance documents, marketing and advertising material reviews, compliance manual updates, periodic electronic communication reviews, ongoing form ADV and Form PF reviews, annual PFRD administration, IARD administration, access to our extensive document library, and more.

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Build a compliance program that's tailored to your business

We support investment advisers, exempt reporting advisers, family offices, municipal advisors, and digital advisers (robo-advisers, internet advisers, or automated advisers) with tailored solutions designed to help their firm align their advisory processes with regulatory requirements and the expectations of the SEC and FINRA. Taking your firm’s needs, size, and structure into account, we'll support you to develop and maintain a compliance program that is based on best practices, current regulatory requirements, and robust oversight processes.

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Make decisions with confidence

Feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to be a trusted adviser and partner. Our staff includes former SEC, FINRA, CFTC, FCA, OCC, and state regulators along with former Chief Compliance Officers and senior compliance managers from prominent hedge funds and other financial institutions.

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Gain peer insights

You will have access to unique insights, trends, and benchmarking data gathered from the largest network of clients in your market. 

News

ACA Group Announces ComplianceAlpha® 2021Q2 with New Features Designed to Help Financial Services Firms Meet Increasing Demands for Digitizing Compliance Programs

ComplianceAlpha 2021 Q2 introduces a suite of new features and sophisticated technology enhancements designed to help firms globally build more comprehensive and scalable GRC programs in line with the expectations of regulators, boards, management, clients, and investors.

Russell Investments Selects ACA Group’s ComplianceAlpha to Modernize Their Risk and Compliance Program from a Single Platform

Russell Invesments has selected ACA's ComplianceAlpha® to help modernize and streamline their compliance program.

We Are Now ACA Group

This week, ACA Compliance Group made the move to ACA Group, better known to our clients and industry partners as ACA.

Upcoming events

ComplianceAlpha® Demo

Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.

Webcast

Money Laundering Reporting Officer: The Role and Responsibilities - 12 May 2021

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

Online Training