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.

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.

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

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.

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

FINRA/SEC Exams

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. 

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

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.

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

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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 Its Adoption of the CFA Institute Diversity, Equity, and Inclusion Code

ACA adopts the DEI Code, an action-oriented and principles-based framework through which to drive meaningful change concerning diversity, equity, and inclusion.

ACA’s ESG Data & Analytics Solution Certifies First Plant-Based ETF as Carbon Neutral

VegTech™ Invest’s Plant-Based Innovation & Climate ETF is recognized as the first plant-based innovation solution to meet ACA’s rigorous carbon neutrality certification

ACA’s Daryn Levesque Recognized as Nicsa NOVA Emerging Leader Award Recipient

Senior Principal Consultant from ACA Foreside’s ETP Distribution Operations team recognized for outstanding contribution to the development of the global asset management industry.

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