Find out what cybersecurity practices your firm should prioritize in order to prepare for the end of the year, as well as plan ahead for 2023.
This guide provides the strategies, insights, and resources for tech-enabling your compliance program and transforming it into a progressive powerhouse.
Is your firm preparing for the November 4, 2022 compliance deadline of the SEC's new Marketing Rule? We outline our implementation action plan in this guide.
This paper covers a wide range of regulatory and geopolitical challenges, and helps identify your governance, risk and compliance gaps before the regulator does.
Scalable GRC solutions tailored to your business
We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates advisory, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.
We work with asset management firms throughout the world to facilitate compliance and product distribution through legal underwriting, registered representative licensing, and DTCC/NSCC fund sponsorship.
ComplianceAlpha RegTech solutions platform
ComplianceAlpha® is our award-winning RegTech solutions platform that integrates risk and compliance activities, automated surveillance, testing, dashboard reporting, analytics, managed services, and more. See why ComplianceAlpha is helping over 1,000 leading financial services firms worldwide build more scalable and resilient compliance programs.
Who we serve
Over 6,300+ financial services firms trust us to help them protect and grow their business.
Of the top 50 money managers, as noted in the ADV Ratings September 2021 ranking data
Hedge Fund Managers
Of the top 100 hedge fund managers, as noted in the May 2021 edition of Hedge Fund Alert
Private Equity Funds
Of the top 100 private equity funds, as noted in the June 2021 PEI 300
We understand your challenges and what you need to protect your business.
We’ve been in your shoes - when you work with us, you’ll have the peace of mind that comes from working with the most trusted and experienced GRC advisor in the financial services industry.
Our team’s unique combination of talent includes the largest number of former regulators, compliance professionals, legal professionals, and GIPS standards verifiers in the industry, along with practitioners in cybersecurity, performance, ESG, and technology.
We hold ourselves accountable for excellence in everything we do.
We derive immense pride from the quality of our work, the excellence of our client service, and the integrity of our team. We are committed to delivering quality, high-touch service and solutions tailored to your business.
We have our finger on the pulse of today's evolving risk and regulatory environment.
Our unique perspective is informed by the insights, trends, and benchmarking data gathered from over 6,300 GRC clients.
We can grow with you as your business grows.
Our innovative approach integrates expert consulting, on-demand managed services, and cutting-edge technology to help our clients build scalable and demonstrable compliance programs.
We are excited to celebrate Hispanic Heritage Month with our Hispanic/Latinx Organization for Leadership & Advancement (HOLA) Employee Resource Group!
ACA has announced their launch of a dedicated outsourced chief compliance officer (OCCO) practice for the financial services industry.