A tailored, well-functioning compliance program is a key success factor in today’s increasingly challenging business and regulatory environments. ACA Group helps our clients by offering regulatory compliance consulting, cybersecurity and risk technology assessments, ESG advisory services, and investment performance solutions verification through our innovative integration of advisory, compliance management services, and compliance technology solutions.
We support investment advisers, exempt reporting advisers, family offices, municipal advisors, and digital advisers (robo-advisers, internet advisers, or automated advisers) with tailored financial advisor compliance solutions designed to help their firm align their advisory processes with regulatory requirements and the expectations of the SEC and FINRA. Taking your firm’s needs, size, and structure into account, we'll support you in developing and maintaining a compliance program that is based on best practices, current regulatory requirements, and robust oversight processes.
Feel confident knowing that your investment advisor compliance consultants have the relevant and current regulatory and in-house expertise to be a trusted adviser and partner. Our staff includes former SEC, FINRA, CFTC, FCA, OCC, and state regulators along with former Chief Compliance Officers and senior compliance managers from prominent hedge funds and other financial institutions.
You will have access to unique insights, trends, and benchmarking data gathered from the largest network of clients in your market.
Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.
The U.S. Securities and Exchange Commission (SEC) has finalized the long-awaited overhaul of the Advertising Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940 (Advisers Act)).
The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on 11/19/20 providing an overview of notable compliance violations found during examinations relating to the Compliance Rule (Rule 206(4)-7 under the Investment Advisers Act of 1940). Here's what you need to know.
Investors have seen stocks soar to extreme heights driven, in large part, by the concerted efforts of participants in an online forum. These developments create a number of significant risks for investment advisers.
ACA's Carlo di Florio discusses the financial industry trends and broader forces impacting risk and compliance management in 2021.
ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year
ACA Group introduces advanced features to its ACA Vantage for ESG platform, leveraging AI to help clients verify ESG data and streamline data management processes. This innovative solution empowers organizations to efficiently manage ESG requirements with greater accuracy and ease.
ACA Group Recognized at Pittsburgh Technology Council’s Tech 50
Join us to learn how OCIO firms are planning to implement the CFA’s new requirements within their firms and in their marketing materials.
Join us for an exclusive webcast that offers a forward-looking perspective on The Dubai Financial Services Authority (DFSA) and The Financial Services Regulatory Authority (FSRA)
Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.