Popular Compliance Solutions For Investment Advisers
Comprehensive C3 Solution®
ACA's C3 Solution® provides broad spectrum compliance assistance to investment advisers, which allows firms to outsource most compliance tasks. The C3 service includes performing annual compliance program reviews, developing and maintaining compliance policies and procedures, reviewing marketing material and drafting appropriate disclosures, providing support during SEC on-site examinations, and designing and conducting compliance education and training.
Compliance Cornerstone
The Compliance Cornerstone service offers investment advisers unlimited consultations, access to ACA’s library of compliance documents, a subscription to ACA’s weekly compliance newsletter, and a high-level customized compliance review. In addition, ACA monitors and processes all IARD filings.
Compliance Assistant
For investment advisers with limited needs, the Compliance Assistant service offers unlimited consultation and timely updates on current rules and regulations.