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Who We Serve

Over 3,500 leading financial services firms trust us to help them protect and grow their business.

Firm types we serve

We help implement compliance and supervisory programs that address FINRA and SEC regulations.

We help CFTC registrants and NFA members to streamline their business and operational processes and improve the quality and effectiveness of their compliance programs.

We help firms align their advisory processes with regulatory requirements and the expectations of the SEC and the CFTC.

We help hedge fund managers enhance their operational and business processes and comply with the Investment Advisers Act of 1940 and industry best practices.

We help investment advisers ensure their compliance with the Investment Advisers Act of 1940 and industry best practices.

We help prepare registered investment companies, as well as their boards, sponsors, advisers, sub-advisers, and service providers, for the rigors of SEC examinations.

We help private equity, private debt, venture capital, and real estate fund managers as well as their portfolio companies comply with the Investment Advisers Act of 1940 and industry best practices.

We work closely with investment and operations teams providing pre-and post-deal technology, cybersecurity, privacy, and ESG transaction advisory services and portfolio company oversight.

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Our market share

Money Managers

88%

Of the top 50 money managers, as noted in the ADV Ratings September 2020 ranking data

Hedge Fund Managers

90%

Of the top 100 hedge fund managers, as noted in the May 2021 edition of Hedge Fund Alert

Private Equity Funds

86%

Of the top 100 private equity funds, as noted in the May 2021 PEI 300

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Trusted by leading financial services firms worldwide

We work with over 3,500 financial services firms worldwide to build scalable and progressive GRC programs that help them protect and grow their business. Our innovative and scalable approach integrates expert advisory, on-demand managed services, and award-winning technology that can be tailored to your unique needs.

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Helping risk and compliance functions across your firm

  • Risk and Compliance Leaders
  • Risk and Compliance Teams
  • General Counsel and Legal Teams
  • Marketing and Performance Teams
  • ESG Teams
  • CIOs/CTOs/CISOs
  • Information Technology and Security Teams
  • Investor Relations Teams

News

ACA Group and Foreside to Join Forces

The merger will bring together two of the industry’s most well-respected GRC solutions providers. ACA and Foreside together will be positioned to transform the future of GRC, creating a world-class platform for the financial services industry.

Michael Borts joins ACA Group as the new Chief Technology Officer

Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.

ACA Group Acquires Catelas to Create Industry-first 360 Surveillance Offering

The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.

Upcoming events

Money Laundering Reporting Officer: The Role and Responsibilities - 30 November 2021

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

Online Training

Get Your Cyber House in Order

Our speakers will discuss how to tailor your spending and prioritize your budget to meet the needs of your firm and regulatory requirements.

Webcast

Senior Management Obligations under the SM&CR - 1 December 2021

The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).

Online Training