White Paper: Building an Effective Compliance Program

In the complex and dynamic world of investment management, a robust compliance program can be not only a regulatory requisite, but also a strategic instrument to curtail your firm’s risk exposure. It can help you stay on the right side of your regulators. It also carves the path for legal safety, ethical work environments, sterling company reputations, and fortified customer trust.

Effective compliance management calls for a thorough approach:

• Identifying and handling risk
• Ensuring explicit and accurate procedures
• Nurturing a firm-wide compliance culture
• Testing your program to ensure efficacy

By executing these measures, you can meet your regulatory obligations, mitigate the threat of enforcement actions, and gain investor trust.

Download our guide to learn key considerations for setting up and maintaining a program that not only addresses some of the U.S. Securities and Exchange Commission’s (SEC’s) and UK Financial Conduct Authority’s (FCA’s) key regulations but also equips you to effectively manage evolving compliance demands.

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How we help

Whether you are looking to launch, grow, or protect your business, a robust compliance program is essential. At ACA Group, we offer a comprehensive suite of advisory, managed services, and technology solutions designed to help you build, oversee, and maintain a best-in-class compliance program.

Partnering with ACA Group provides more than just compliance solutions—it offers a strategic advantage that supports your firm throughout its entire lifecycle. We enable you to stay ahead of regulatory changes, manage challenges, and focus on achieving business success with confidence. Our wide range of solutions includes: 

• ACA Signature: Choose from our three distinctive models – Partner, Core, or Essential – to customize your services according to your firm's size, specific requirements and ongoing compliance obligations. These scalable consulting offerings can be paired with managed services, regulatory technology, cybersecurity, and ESG to effectively address your regulatory commitments and day-to-day responsibilities.   
• Managed services: Outsource your compliance management tasks to simplify your processes, save time, and enhance business outcomes. Whether you need support with regulatory filings, AML due diligence, marketing, eComms or social media reviews, investment performance, or code of ethics and personal trading, we’ve got you covered.    
• Outsourced Chief Compliance Officer (OCCO): Optimize compliance oversight by passing your compliance requirements to our experts, helping to lower expenses and provide best practices.    
• RegTech: Unlock the full potential of your compliance strategy with ComplianceAlpha^®, ACA’s scalable governance, risk, and compliance software offerings. Our integrated solutions empower you to streamline processes, enhance oversight, and meet regulatory demands with ease.

In addition to compliance, we also protect your firm with tailored ESG, Cybersecurity, Privacy & Risk, and Investment Performance services—enhancing both your risk management and long-term resilience.

Contact us today to learn how ACA Group’s specialized expertise, advanced technology, and proven processes can help your business achieve its compliance goals, scale efficiently, and protect your reputation in a complex regulatory environment.