new york city aerial view night

Who We Serve

Over 6,300 leading financial services firms trust us to help them protect and grow their business.

Firm types we serve

We help implement compliance and supervisory programs that address FINRA and SEC regulations.

We help CFTC registrants and NFA members to streamline their business and operational processes and improve the quality and effectiveness of their compliance programs.

We help firms align their advisory processes with regulatory requirements and the expectations of the SEC and the CFTC.

We help hedge fund managers enhance their operational and business processes and comply with the Investment Advisers Act of 1940 and industry best practices.

We help investment advisers ensure their compliance with the Investment Advisers Act of 1940 and industry best practices.

We help prepare registered investment companies, as well as their boards, sponsors, advisers, sub-advisers, and service providers, for the rigors of SEC examinations.

We help private equity, private debt, venture capital, and real estate fund managers as well as their portfolio companies comply with the Investment Advisers Act of 1940 and industry best practices.

We work closely with investment and operations teams providing pre-and post-deal technology, cybersecurity, privacy, and ESG transaction advisory services and portfolio company oversight.

1 of

Our market share

Money Managers

80%

Of the top 50 money managers, as noted in the ADV Ratings September 2021 ranking data

Hedge Fund Managers

81%

Of the top 100 hedge fund managers, as noted in the May 2021 edition of Hedge Fund Alert

Private Equity Funds

77%

Of the top 100 private equity funds, as noted in the June 2021 PEI 300

consulting meeting 720x570

Trusted by leading financial services firms worldwide

We work with over 6,300 financial services firms worldwide to build scalable and progressive GRC programs that help them protect and grow their business. Our innovative and scalable approach integrates expert advisory, on-demand managed services, and award-winning technology that can be tailored to your unique needs.

aerial highway ramps at night

Helping risk and compliance functions across your firm

  • Risk and Compliance Leaders
  • Risk and Compliance Teams
  • General Counsel and Legal Teams
  • Marketing and Performance Teams
  • ESG Teams
  • CIOs/CTOs/CISOs
  • Information Technology and Security Teams
  • Investor Relations Teams

News

New SEC Marketing Rule Master Class Podcast Released

We are pleased to announce the release of our new master class series on the SEC’s Marketing Rule! Sponsored by the NSCP and ACA Group and developed by Patrick Hayes, host of the Compliance In Context Podcast, and Carlo di Florio, ACA Group’s Global Advisory Leader.

ACA Group Selected as an AIFinTech100 Company for 2022

ACA Group has been named one of the 100 most innovative AIFinTech companies in the financial industry by FinTech Global.

2022 Investment Management Compliance Testing Survey Results Released

For the second year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one worry for investment adviser compliance officers, according to the 2022 Investment Management Compliance Testing Survey.

Upcoming events