Join our team in Washington, D.C. at the IAA Investment Adviser Compliance Conference.
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 advisory, managed services, and technology.
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Our services are designed for firms of all sizes to help ensure their compliance with the Investment Advisers Act of 1940 and industry best practices.
We provide extensive examination and testing options to evaluate your compliance capabilities. Our examiners have years of experience and can offer advice on best practices.
We work with asset management firms throughout the world to facilitate compliance and product distribution through legal underwriting, registered rep licensing and chaperoning, and more.
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.
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.
Gain peer insights
You will have access to unique insights, trends, and benchmarking data gathered from the largest network of clients in your market.
Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.
The U.S. Securities and Exchange Commission (SEC) has finalized the long-awaited overhaul of the Advertising Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940 (Advisers Act)).
- SEC Marketing Rule
The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on 11/19/20 providing an overview of notable compliance violations found during examinations relating to the Compliance Rule (Rule 206(4)-7 under the Investment Advisers Act of 1940). Here's what you need to know.
Investors have seen stocks soar to extreme heights driven, in large part, by the concerted efforts of participants in an online forum. These developments create a number of significant risks for investment advisers.
ACA's Carlo di Florio discusses the financial industry trends and broader forces impacting risk and compliance management in 2021.
ACA proudly joins in the celebration of Black History Month. This year, our spotlight shines on the theme "African Americans and the Arts," a rich tapestry of culture, expression, and resilience.
ACA is thrilled to announce that it has been recognized once again as a RegTech100 company for 2024 by RegTech Analyst.
Introducing ACA Vantage for ESG; a straightforward and comprehensive solution to track and analyze ESG data, and support PE, private credit, and leveraged loan portfolios.
Our experts will discuss the shifting market and regulatory landscape, providing invaluable insights for asset managers navigating this new data-driven reality.
This webcast will identify key challenges asset managers face with ESG monitoring, outline emerging regulatory requirements, and highlight the key features of our ACA Ethos solution that solve for these issues.