ACA provides customized compliance solutions to digital advisers (sometimes referred to as robo-advisers, internet advisers, or automated advisers) that are specifically designed to help firms align their advisory processes with regulatory requirements and the expectations of the U.S. Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”).
Our team of compliance professionals includes former SEC, FINRA, FCA, NYSE, NFA, and state regulators, as well as former in-house compliance professionals from prominent financial services firms. We work with compliance and legal professionals to review and develop compliance programs based on best practices, current regulatory requirements, and robust oversight processes.
Our regulatory compliance offerings include:
We offer digital advisers a holistic, client-focused approach to technology risk and governance. Our team of financial technologists works with digital advisers to improve security infrastructures, provide advisory services, and conduct cybersecurity reviews. Our reviews go well beyond network perimeter testing and look for hidden vulnerabilities that lie elsewhere.
Our cybersecurity and risk offerings include:
We provide mission-critical financial software products and services that allow digital advisers to increase operational efficiencies, reduce risk, and increase profitability.
Our software offerings include:
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