BROKER-DEALER SERVICES

Broker-Dealer Comprehensive C³ Solution®

The C³ Solution® is a year-long engagement that would allow a broker-dealer to outsource the majority of its compliance work to ACA and its seasoned compliance professionals. ACA’s C³ Solution® is a one-year customized compliance solution that includes the following services:

Ongoing Compliance Support

• FINRA Required Annual Reviews
• Annual Regulatory Compliance Program Review
• Annual Anti-Money Laundering Program Review
• Annual Supervisory Controls Assessment
• Assistance with Annual Certification of Compliance Program
• Review of Agreements and Compliance Documents
• Initial and Ongoing Forms BD and BR Review
• Customized Written Supervisory Procedures Manual
• Access to ACA’s Library of Documents
• Unlimited Customized Telephone Consulting
• CRD Administration
• Quarterly Customer Complaint and Disclosure Filings

Examination Support

• FINRA Examination Response Program (maximum number of days per contract year)
• Deficiency Letter Response Writing
• Offsite Assistance with Informal FINRA Regulatory Inquiries

Compliance Education and Training

• Continuing Education Needs Analysis/Training Plan
• Annual Compliance Meeting
• Access to ACA’s Compliance Webcasts
• Subscription to BD Quarterly Newsletter
• Periodic Email Compliance Alerts

Broker-Dealer Compliance Cornerstone™

This product provides ACA’s business partners with a wealth of bundled services and benefits including a customized review.

• ACA would conduct an initial limited scope off-site compliance review including:
• Initial telephone interview to discuss the firm’s activities
• Form BD/BR review and update
• Written Supervisory Procedures review
• Unlimited Customized Telephone Consulting
• Annual Compliance Meeting Agenda
• Written Supervisory Procedures Manual with Periodic Updates
• Continuing Education Needs Analysis/Training Plan
• Access to ACA’s Library of Compliance Documents
• CRD Administration
• Bi-Monthly Conference Calls
• Subscription to BD Quarterly Newsletter
• Periodic Email Compliance Alerts

Broker-Dealer Compliance Assistant ™

This product offers broker-dealers access to ACA’s compliance professionals.

• Unlimited Customized Telephone Consulting
• Access to ACA's Library of Compliance Documents
• Periodic Email Compliance Alert
• Subscription to BD Quarterly Newsletter