Compliance Programs for Registered Investment Advisers
We provide customized compliance solutions for investment advisers, exempt reporting advisers, family offices, municipal advisors, and digital advisers to establish and uphold a compliance program that meets the standards set by the SEC.
Speak with our team about your firm's requirements.
20+
Years of Compliance Expertise
1,400+
Compliance Professionals
6,000+
Clients Globally
Build a compliance program that's tailored to your business.
Choose from our packaged ACA Signature®programs, options for outsourced compliance for RIAs, and ad hoc solutions to meet your firm’s specific regulatory and compliance requirements.
We offer four unique models to allow you to tailor our services to your firm’s needs. Choose the combination of compliance consulting, managed services, regulatory technology, and cybersecurity that is right for your firm.
Outsourced CCO
Signature Partner
Signature Core
Signature Essential
Designed by compliance experts and tailored to fulfill the ongoing compliance obligations of investment adviser firms, each ACA Signature program is supported by our global team of compliance professionals.
End-to End Compliance
Scalable Support
ACA also provides ad hoc compliance solutions designed to solve the specific needs of an investment adviser.
Standard solutions include:
Rule 206(4)-7 Annual Compliance Reviews
SEC and State Mock Exams
Compliance Policies and Procedures Manual
Code of Ethics
Transition of Registration (State to SEC, SEC to State)
Form ADV and Form CRS Filings
Form PF Filings
Form 13 Filings
Blue Sky & Form D Filings
Regulatory Exam Support
Regulatory Compliance Solutions for Your Business Needs
Every engagement is tailored to your firm's specific regulatory environment, business model, and risk profile.
Regulatory Advisory
Strategy and oversight
Guidance from former regulators and CCOs across regulatory compliance, cybersecurity, and ESG, aligned to your firm's risk profile.
Managed Services
Execution and operations
Scalable outsourced compliance support, from filings and surveillance to outsourced CCO coverage.
Compliance Technology
Automation and visibility
Purpose-built RegTech that automates workflows, surveillance, and reporting with real-time visibility.
We’ve been in your shoes - when you work with us, you’ll have the peace of mind that comes from working with the most trusted and experienced RIA compliance consultants in the financial services industry.
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 through every step of the process.
Book a meeting today to learn why investment advisors choose ACA for their compliance services.
Ready to Get Started?
Speak With a Compliance Specialist Today
Book a no-obligation strategy session and see exactly how ACA can strengthen your compliance program.
