ACA’s popular compliance solutions  for broker dealers

Broker-Dealer Comprehensive C³ Solution®
Broker-Dealer Compliance Cornerstone™
Broker-Dealer Compliance Assistant ™

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Broker-Dealer Quick Reference Guide

ACA Broker-Dealer
Quick Reference Guide
For a FREE copy, email Dee Stafford or call
(561) 988-3310 ext. 105

Practice Highlights

  • ACA performed a gap analysis of policies and procedures for a full service investment banking firm.
  • ACA performed a comprehensive review, evaluation and analysis of a Firm’s operations, policies, procedures and practices that relate to FINRA’s Order Audit Trail System (“OATS”) including an assessment that the Firm was in compliance with all requirements of OATS rules and regulations.  
  • ACA conducted a review and tested supervisory control procedures for a broker-dealer with more than 500 registered persons.
  • ACA has performed full scope 3010 regulatory compliance reviews for broker-dealers.
  • ACA tested the effectiveness and accuracy of written policies and procedures related to acceptance and processing of variable annuity applications for a large insurance affiliated broker-dealer. In addition, ACA assessed whether those policies and procedures ensured accurate, timely and secure processing.

"Your role as compliance professionals is critical in any market environment, but in today’s turbulent times, it is essential.  Your job is important in any environment, and it is just as or more important now." said OCIE director Lori Richards

BROKER-DEALER SERVICES

ACA’s Broker-Dealer Services Division provides broker-dealers with regulatory compliance expertise within tailored programs that ensure compliance with applicable FINRA and SEC rules. ACA will review a firm’s compliance program and develop written supervisory procedures to ensure that compliance practices meet FINRA and SEC standards. If compliance issues are identified, ACA will be available to assist your firm with the implementation of recommended corrective action.

ACA assures compliance for broker-dealers by providing:

Regulatory Risk Reviews

  • Regulatory Compliance Reviews
  • Supervisory Control Assessments
  • Anti-Money Laundering Independent Testing Reviews
  • Trading & Market Maker Surveillance (TMMS) Reviews
  • OATS (Order Audit Trail System) Reviews
  • Mutual Fund Distributor Reviews
  • Specialized Compliance or Product Reviews including Variable Annuity and Investment Company products

Registration Services

  • FINRA Initial Membership Applications
  • Changes to Membership Applications
  • State Applications
  • CRD Administration

Additional Consulting Services

  • Regulatory Body-Mandated Consulting
  • Policies and Procedures reviews and customization
  • Compliance Training
  • Due Diligence for Mergers and Acquisitions
  • Advertising and Sales Literature Review
  • On-going Review of Employee and Proprietary Trading

Financial Reporting Services

  • Financial Reporting Consulting
  • Net Capital and FOCUS Filing Assistance

Fiduciary vs Suitability

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 Article in Complinet - "Fiduciary vs Suitability"

ACA offers several compliance solutions, and each solution provides a high level of service to broker-dealers with varying compliance needs. We welcome the opportunity to speak with you. If you are interested in a customized proposal, please contact Dee Stafford at (561) 988-3310 or email at dstafford@acacompliancegroup.com.