ACA offers investment advisers practical compliance consulting and solutions to regulatory requirements. Our experienced team of compliance professionals—many of whom are former federal, state, and SRO regulators—understand compliance and operational challenges. They use their frontline knowledge to help clients develop and sustain strong, reliable compliance programs in the manner best suited to their firm’s needs, size, and structure.
ACA offers several packaged solutions for compliance support that provide assistance at varying levels.
ACA’s C3 Solution provides a range of services to assist investment advisers with most compliance tasks.
ACA’s Compliance Cornerstone Solution is ideal for firms that do not require a total compliance solution. It offers investment advisers unlimited consultation, 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, we assist clients in preparing and submitting required IARD filings.
For investment advisers with limited needs, ACA’s Compliance Assistant Solution includes unlimited consultation and timely updates on current rules and regulations.
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