ACA Signature

Gain a trusted partner to help steer your compliance program

ACA Signature Partner is ideal for firms seeking to outsource compliance. We will become immersed in your firm’s compliance program and carry out necessary functions on your firm’s behalf.

Strengthen the core functions of your compliance program

ACA Signature Core is best for firms seeking to strengthen their compliance program. We will conduct, and report on, your firm’s annual compliance review.

Establish the essentials needed to support your ongoing compliance responsibilities.

ACA Signature Essential is the perfect option for firms looking for help with their critical compliance functions. We will handle these tasks while providing general compliance support to your firm.

The registration or application process can seem lengthy, overwhelming, and daunting. We can simplify the process with our SEC, FINRA, CFTC and NFA, and state registration as well as FCA authorization support services. Or if you are launching a new investment management firm, or extending an existing venture, we also offer regulatory hosting through ACA Mirabella. 

Our review services look under the hood of your compliance program to ensure the policies and procedures you’ve set are up to date and appropriate for your firm. We can provide Mock SEC, FINRA, and NFA Exams, as well as FCA Mock Audits, in-depth analysis of your firm’s FCA RegData returns, and your Internal Capital Adequacy Assessment Process (ICAAP). 

State securities laws, or “Blue Sky Laws” are designed to protect a state’s residents against securities fraud. Blue Sky Laws vary widely from state to state. Our expert blue sky team researches each state’s requirements for you, so you’ll only file where required. Our dedicated Blue Sky team is knowledgeable in each state’s requirements.