Compliance

ACI provides securities compliance consulting services to hedge funds, investment advisers, broker-dealers and banks. Our compliance outsourcing programs are customized to meet the needs of each client depending on the firm type, size, and existing compliance program. We provide securities compliance consulting services to firms with existing compliance programs as well as firms that are just beginning to meet regulatory compliance requirements.

If your firm already has a internal regulatory compliance services, ACI can conduct a mock SEC Audit to provide your firm with a third party perspective on your compliance program and provide recommendations to help you achieve SEC compliance.  Alternativly, we can serve as a compliance back-office and manage the complete compliance process, allowing our clients to focus on the development of their businesses.

ACI's primary security compliance consulting services include registrations, risk assessments, due diligence, best execution, regulatory filings, creating and maintaining a code of ethics, and providing well-refined compliance manuals. Our team will provide assistance in ensuring that your firm is fully compliant with FINRA, the SEC, or any other regulatory body that governs your business operations. In an increasingly regulated financial environment, don't hedge your bet when it comes to compliance.

Securities Compliance Consulting Services by Firm Type

Hedge Fund Compliance
Broker Dealer Compliance
Investment Advisor Compliance
Futures Compliance

Contact Us: To receive a complimentary compliance consultation email info@acisecure.com or fill out our contact form.

Contact ACI

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