Compliance Services for Financial Services

Compliance Services for Financial Services

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ACA Compliance Group is the premier provider of compliance consulting, products, and solutions to financial services firms. Our team includes former SEC, FINRA, FCA, NFA, CFTC, OCC, and state regulators along with former senior compliance managers from prominent financial institutions.

Who We Work With

Our clients know that a tailored, well-functioning compliance program is a key success factor in today’s increasingly challenging business and regulatory environments. We respond to their needs by developing and maintaining high-quality compliance programs that are customized to each firm’s particular business demands and operational realities.

Our clients include:

  • Investment advisers
  • Private funds
  • Family offices
  • Private equity firms
  • Investment companies
  • Mutual funds
  • Business development companies
  • Variable insurance companies
  • Municipal advisors
  • Digital advisers
  • Exempt reporting advisers
  • Commodity Pool Operators
  • Broker-dealers
  • Global advisers

How We Help


Compliance Support Solutions

ACA provides skilled resources on a short- to long-term basis to assist firms during times of need, such as personnel transitions or extended absences. We also can assist firms on a routine basis in order to provide fresh perspectives and insight on a firm’s compliance program.

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Electronic Communications Reviews

ACA conducts thorough reviews of electronic communications to help firms meet their regulatory obligations in this area.

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Secondment and Compliance Staffing Solutions

ACA provides staffing assistance to clients who may be short-staffed, have additional project work, and/or need coverage for employees on extended leave.

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Expert Network Consultation Chaperoning

ACA can assist compliance and legal teams by chaperoning expert network consultations.

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Regulatory Filings

ACA Compliance Group offers regulatory filings review services to investment advisers. Our filings team helps managers determine and meet their regulatory filing obligations under Section 13 and Section 16 including Schedule 13G, Form 13H, Form 13F, and Forms 3, 4, and 5.

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Marketing and Advertising Reviews

ACA’s marketing and advertising review assistance allows your firm to significantly reduce the amount of time and resources devoted to the marketing and advertising review process.

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investment adviser compliance services how we help