ACA Compliance Group
With over fifty former SEC, FINRA, NYSE, NFA, FSA, and state regulators, as well as former in-house counsel and senior compliance managers from a number of prominent financial institutions, ACA Compliance Group (ACA) is a full-service compliance consulting firm that offers unparalleled regulatory compliance and GIPS® verification services to U.S. and global investment advisers, private funds,
investment companies, and broker-dealers. Since its inception in 2002, ACA has maintained a reputation for high quality, unquestionable integrity, and unmatched dedication to its clients. By partnering with ACA, our clients gain confidence from knowing that their compliance programs are supported by the industry leader.
ACA is headquartered in New York City and its consultants are located in various regions across the United States, Europe, and Asia. We help investment managers comply with new and existing regulatory requirements. We help mitigate risk. Through mock SEC, FINRA, NFA, and FSA inspections, compliance program reviews, policy and procedure development and implementation, forensic testing, marketing literature reviews, electronic correspondence surveillance, and tailored, turn-key registration services, ACA offers highly-customized solutions that are designed to assist our clients as they build and maintain best practice compliance programs. In addition, our consultants’ close involvement and participation in regulatory examinations enables them to obtain unique and timely insights into current regulatory focus areas.
With services and fees scalable to meet particular needs, ACA provides the key factors needed for success in today’s increasingly challenging business and regulatory environment. We provide assurance through experience.
