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ACA COMPLIANCE GROUP

Streamline risk and compliance management with
ComplianceAlpha® 2.0

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ACA Compliance Group (ACA) is a leading provider of governance, risk, and compliance advisory services and technology solutions. We partner with our clients to help them mitigate the regulatory, operational, and reputational risks associated with their business functions. Our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, broker-dealers, and domestic and international banks. ACA is based in New York City and has offices in London, Hong Kong, Malta, and other U.S. cities.

 

How We Help

 

ACA Compliance Services and Solutions

Compliance Services

We provide compliance products and solutions to financial services firms. Our team includes former SEC, FINRA, FCA, CTFC, NFA, and state regulators, along with former senior compliance managers from prominent financial services firms.

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ACA Cybersecurity and Risk

Cybersecurity & Risk

We provide cybersecurity and technology risk assessments, testing, and advisory solutions to companies of all sizes.

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ACA Performance Services

Performance Services

Our team — the largest group of GIPS® compliance professionals in the world solely dedicated to GIPS compliance verification and related services — provides GIPS compliance verification and consulting services to investment managers around the globe.

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ACA Financial and Regulatory Technology

Regulatory and Investment Technology

We provide investment management, data management, and regulatory technology software products and services to leading investment management firms.

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ACA AML & Financial Crimes

AML & Financial Crimes

Our team of AML and financial crime specialists works with banks and large institutions to provide advisory and technology services that help address financial crimes-related threats and regulatory concerns.

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Mirabella

Our team hosts firms who undertake regulated activities in the EU who do not yet have their own license, including start-up and established investment managers, as well as distribution and advisory firms.

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ACA Financial and Regulatory Reporting

Financial and Regulatory Reporting

Our regulatory accountants solve the complex needs of firms managing or marketing funds in Europe, including Annex IV reporting, preparing ICAAPs, prudential capital management, management accounting, and payroll.

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ACA Tax Services

Tax Services

Our team provides a range of UK corporate and fund tax services, as well as UK personal tax services for financial services professionals, other high net worth individuals, and their families.

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ACA Education & Training

Education & Training

Our team provides a variety of educational opportunities to help you and your staff stay informed on regulatory initiatives, GIPS standards, cybersecurity, and industry topics.

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SOLUTION SPOTLIGHT

ACA's Employee Compliance Solution

Our Employee Compliance solution is an integrated tool for managing your firm’s personal trading surveillance, employee certifications, gift and entertainment requests and disclosures, political contributions, outside activity reporting, and more.

Key features include:

  • Automated personal trade monitoring
  • Pre-trade, post-trade, IPO, and private placements
  • Easy employee submission of approval requests and disclosures for gifts and entertainment, political contributions, and outside activity
  • Employee certifications and attestations
  • items of interest cases and notifications
  • Links to 5,000 global brokerage institutions
  • Support from ACA’s experienced professional services and support team

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