Product Spotlight: ACA Signature

A signature is a mark of confidence and a symbol of authenticity and trust. You need a compliance program you can rely on to protect your firm from risk – and you need the right people, processes, and technology to do it efficiently.

What is ACA Signature?

ACA Signature provides financial firms with scalable consulting solutions that can be paired with innovative technology and managed services for staying on top of their regulatory and daily obligations. Our team of regulatory experts can build, enhance, or manage your compliance program helping to mitigate risks and increase operational efficiency.

ACA Signature puts you in complete control of your compliance program. Choose the combination of compliance advisory services, innovative regulatory technology, and managed services that is right for your firm. Our team will support you through challenges unique to your firm’s business model.

Your ACA Signature experience is provided by a dedicated team of highly experienced professionals. Designed by former regulators and compliance experts, ACA Signature provides services and solutions tailored to fulfill your firm’s ongoing compliance obligations.

We offer three unique models to allow you to tailor your services to your firm size and needs: Partner, Core, or Essential. 

► HOW WE HELP

ACA Signature puts you in complete control of your compliance program. We offer three unique models where you will be able to choose the combination of our compliance advisory services, managed services, and innovative regulatory technology.

Compliance Advisory Services

• Annual Compliance Program Review
• Compliance Policies and Procedures Support
• Consulting
• Required Advisers Act Filings (e.g. Form ADV, Form PF)
• Regulatory Filings (e.g. Form 13F, Form 13H, Schedule 13G, Blue Sky, Form D, and other filings)
• Library of Online Compliance Education Courses
• Compliance Training (In person or Virtual)
• Regulatory Exam Support
• Onsite Visits
• Compliance Program Risk Assessment
• Overall Compliance Program Execution & Delivery
• Outsourced CCO

Managed Services

• Marketing and Advertising Reviews
• Electronic communication reviews
• Personal trade reviews
• AML-KYC/CIP support
• Social media reviews
• Political contributions reviews
• Expert network chaperoning

Regulatory Technology

• Compliance Management
• Employee Compliance
• eComms Surveillance
• Marketing Review
• AML KYC/CIP

Trusted by 1,000+ financial services firms to help protect and grow their businesses.