GRC Solutions for Investment Advisers

A tailored, well-functioning compliance program is a key success factor in today’s increasingly challenging business and regulatory environments. We help our clients manage regulatory compliance, cybersecurity and risk, ESG, and performance verification through our innovative integration of consulting, managed services, and technology.

Our solutions

Our services are designed for firms of all sizes help ensure their compliance with the Investment Advisers Act of 1940 and industry best practices.

Address financial crimes-related threats and regulatory concerns with our team of former regulators and auditors.

Strengthen your compliance program with our global team of compliance professionals.

Build cyber and operational resilience across your firm with our team of cybersecurity and technology risk experts.

Maximize your firm’s time and efficiency with our technology-powered managed services.

Gain clarity on your firm’s ESG requirements and build a strong compliance program with our dedicated ESG advisory practice.

Get your firm up and running quickly with our regulatory hosting support.

Stay in compliance with the GIPS® standards and investment performance rules with the world’s largest team of GIPS standards verifiers.

Build a more scalable and resilient compliance program with our ComplianceAlpha® regulatory technology software platform backed by managed services support.

Overcome your Brexit challenges and continue to access the UK markets with our solutions.

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Solution Spotlight

Comprehensive C3 Solution

Our Comprehensive Customized Compliance (C3) Solution is a full-service package of compliance advisory solutions including: SEC examination support, annual compliance training, an annual subscription to ComplianceAlpha® to streamline your compliance processes, unlimited phone support, annual mock exam and compliance program review, on-call review of compliance documents, marketing and advertising material reviews, compliance manual updates, periodic electronic communication reviews, ongoing form ADV and Form PF reviews, annual PFRD administration, IARD administration, access to our extensive document library, and more.

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Build a compliance program that's tailored to your business

We support investment advisers, exempt reporting advisers, family offices, municipal advisors, and digital advisers (robo-advisers, internet advisers, or automated advisers) with tailored solutions designed to help their firm align their advisory processes with regulatory requirements and the expectations of the SEC and FINRA. Taking your firm’s needs, size, and structure into account, we'll support you to develop and maintain a compliance program that is based on best practices, current regulatory requirements, and robust oversight processes.

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Make decisions with confidence

Feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to be a trusted adviser and partner. Our staff includes former SEC, FINRA, CFTC, FCA, OCC, and state regulators along with former Chief Compliance Officers and senior compliance managers from prominent hedge funds and other financial institutions.

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Gain peer insights

You will have access to unique insights, trends, and benchmarking data gathered from the largest network of clients in your market. 

News

Michael Borts joins ACA Group as the new Chief Technology Officer

Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.

ACA Group Acquires Catelas to Create Industry-first 360 Surveillance Offering

The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.

ACA Group and the Investment Adviser Association Announce Strategic Partnership

ACA Group (ACA), a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions, today announced that it has entered into a strategic partnership with the Investment Adviser Association (IAA), a leading organization dedicated to advancing the interests of investment advisers.

Upcoming events

Common Practices for GIPS® Compliance

ACA has gathered all the common best practices of performance teams complying to the GIPS standards and will discuss the most common question we receive from clients, "What do other firms do?"

Webcast

Compliance Officer: The Roles and Responsibilities - 21 October 2021

The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.

Online Training