Building a Programmatic Approach to Cyber Portfolio Oversight
Join us for a discussion about cybersecurity portfolio oversight and the value-add it brings to sponsors.
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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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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.
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
News
ACA Awarded Most Innovative Trade Surveillance Solution
ACA Group is proud to be recognized for most innovative trade surveillance solution at this year’s A-Team Innovation awards announced March 23, 2023.
ACA Group Launches ACA Signature to Meet Client Demand for Outsourced Compliance Programs
New scalable solution is curated to suit financial firms’ unique compliance needs and challenges
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.