COMPLIANCE SERVICES – MOCK EXAMS AND GAP ANALYSIS

    Are you ready if the regulator knocks on your door?  

    The SEC recently stated plans to “significantly” increase onsite exams of advisors within the next six months. And in the FCA’s 2023/24 business plans, the regulator made it clear they will be identifying, assertively supervising and effectively enforcing against firms that fail to meet required standards. 

    Now is a good time for you to look under the hood of your compliance and resilience programs to make sure your policies and procedures are up to date and appropriate for your firm – and regulatory scrutiny.  

    Complete this form to learn more about the services we have to help you get ahead of the regulator.

    Why ACA?

    Our team includes former SEC, FINRA, FCA, NFA, CFTC, and state regulators along with former 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.

    Our Compliance Services Include:

    A mock exam, health check, assurance review, or gap analysis: we will help identify gaps in your firm’s FCA, FINRA, NFA, and SEC governance and control arrangements and policies and procedures. 

    An SEC cybersecurity rule gap analysis: a new set of new cybersecurity risk management rules and requirements are soon coming into force – act now to become compliant. We help you consider your safeguards and evaluate your threat readiness.   

    An SEC Marketing Rule Compliance Assessment: the regulator has made it clear this newly implemented rule is an exam priority. Use this service to check if you will hold up to scrutiny.