managed Services

    vate funds in April according to the recently released SEC 2023 regulatory agenda.

    Ontain the required information security program to meet the SEC’s regulatory r

    Why ACA?

    Our team includes former SEC, FINRA, FCA, NFA, CFTC, and state regulators, along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions. We offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value.

    With ACA, you can feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to support you through every step of the process.

    Make decisions with confidence

    ACA's scalable solution, 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.

    Services can include:

    • FINRA 3110 Annual Home Office Inspection and Branch Office Inspection Support
    • FINRA 3120 Supervisory Control Assessment
    • Anti-Money Laundering (AML) Independent Review
    • Written Supervisory Procedures Development and Management
    • AML, Business Continuity Plan (BCP), International Trade Finance Program (ITPP) Manuals
    • Development and Management
    • Program Alerts, Reminders, Calendar & Templates
    • Regulatory Filings (Form BD & BR, FINRA Advertising Submissions, Rule 4530 & 5123 Filings)
    • Regulatory Exam Support
    • Onsite Visits
    • Annual compliance meeting
    • Telephone and Email Consulting