Compliance Solutions
for Digital Advisers

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”).

REGULATORY COMPLIANCE OFFERINGS

 

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:

  • Mock regulatory exams;
  • Compliance program reviews;
  • Policy and procedure review and drafting;
  • Compliance manual review and drafting;
  • SEC examination support;
  • Electronic communications reviews;
  • Unlimited telephone advisory services;
  • Form ADV reviews;
  • IARD administration assistance;
  • Regulatory filing support (13F, 13H, Schedule 13G); and
  • Education and training.

CYBERSECURITY AND RISK OFFERINGS

 

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:

  • Cybersecurity and risk assessments;
  • Mock SEC cybersecurity exams;
  • Vendor due diligence;
  • Network penetration and vulnerability testing;
  • Security training and phishing testing;
  • Strategic technology advisory and guidance; and
  • Cybersecurity awareness training.

TECHNOLOGY OFFERINGS

 

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:

  • ComplianceAlpha®, ACA’s comprehensive compliance program management solution;
  • Order management system (OMS);
  • Portfolio management;
  • Allocations;
  • Regulatory filing and reporting;
  • Data governance and management;
  • Security master and price master;
  • Trade surveillance;
  • Model risk management and validation; and
  • AML compliance analytics.

Want to learn more about our digital adviser services?

 

Contact Us