Outsourced Compliance Services

We’ll stick with you for the long haul to see to it that your Compliance Program requirements are met on a daily basis. We’ll check in periodically to prove to your investors and prospects; as well as regulators- that you’re ready to meet all regulatory demands, be it SEC, CFTC/NFA or FINRA. We supply you with…

• Total registration support, from CRD/IARD assistance to registration approval
• Compliance program tailored to your business and expected by the regulators
• Ongoing compliance program support and testing
• Unlimited expert advice - available 24/7

Employing innovative, yet practical solutions, we not only react to the latest SEC, CFTC/NFA, FINRA compliance requirements, but we also collaborate with CCOs, lawyers, and other compliance professionals to identify and plan for future regulatory risks. In addition to the above, we provide the following:

Outsourced Chief Compliance Officer

We can even serve as the official CCO and manage your entire compliance function- so that you don’t have to! That way, you can spend more time on what’s important; making investment decisions and generating returns. Let us worry about the rules.

Mock SEC Audit

Our Mock SEC Audits have you practiced and ready to take on real future regulatory examinations with confidence once there are real stakes on the line. We can help turn a dreaded experience into a tool to further build your reputation as a competent and prepared organization.

Compliance Testing & Analysis

Our forensic testing serves as an early warning system for CCOs. Through these forensic tests, we can identify symptoms of potential compliance problems or confirm that the compliance program is working like it should and keeping you out of trouble! ACG provides you with:

• State of the art protocols
• Testing methodologies
• Periodic forensic compliance tests
• Continuous monitoring of the compliance program

We cover…

• Trading and execution
• Portfolio compliance
• Code of ethics
• Email Review
• ADV Maintenance
• Administration
• Marketing
• Valuation

…and whatever else you might need to be fully ready for your next compliance examination.