GRC Solutions for Investment Advisers

  1. Who We Serve
  2. 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 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.

AML & Financial Crimes

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

Brexit Implementation

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

Compliance Consulting

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

Cybersecurity, Privacy, and Risk

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

ESG Advisory

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. 

Managed Services

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

Mirabella

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

Performance Services

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

Registered Product Compliance and Distribution

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.

Regulatory Technology

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

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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. 

Featured insights

Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

SEC Adopts New Marketing Rule for Investment Advisers

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)).

Article
  • Compliance
  • SEC Marketing Rule

SEC Issues Risk Alert Identifying 6 Areas of Deficiencies in Investment Adviser Compliance Programs

The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on November 19 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.

Compliance Alert
  • Compliance
  • BCP
  • Cybersecurity

Managing Compliance Concerns in the Wake of GameStop Corp. Stock Inflation

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.

Compliance Alert
  • Compliance

Key Trends and Forces Shaping Risk and Compliance Management in 2021: Report

ACA's Carlo di Florio discusses the financial industry trends and broader forces impacting risk and compliance management in 2021.

Article
  • Compliance
  • RiskMutation
  • RegTech
  • Cybersecurity
More insights

News

ACA Reflects on Black History Month Celebrations

Our Connected Black Professionals employee resource group continues to foster a positive and inclusive environment for all employees through initiatives that highlight outstanding achievements and celebrate black legacy and strength.

ACA Group Taps Global Talent with New Office in Pune, India

On February 13th, ACA's new office in Pune, India will open adding to ACA’s “follow the sun service,” which will support clients around the clock and improve project turnaround times.

ACA Group Selected as a RegTech100 Company for 2023

We are delighted to be named one the 100 most innovative RegTech companies in the financial industry by FinTech Global and RegTech Analyst for the 5th time!

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