National Futures Association Services
Tumultuous markets coupled with recent media frenzy surrounding financial fraud in the market place have resulted in a widespread loss of investor confidence. The National Futures Association (“NFA”) has responded by calling for greater internal transparency, bulletproof compliance and risk management programs, and absolute accuracy in accounting and record keeping practices. These demands have been supported, and expanded upon, in the President’s recently announced plan to reshape financial regulation.
Are you ready for the new world?
In past years compliance has been viewed as an area requiring only minimal effort and oversight and has been one of the go-to places for trimming budgets during cost-cutting initiatives, but in the face of heightened scrutiny by both regulators and clients, firms cannot afford to cut back on the quality of their compliance efforts.
At ACI, we provide both cost-effective and thorough solutions for increasing the quality and efficacy of our custom compliance programs, allowing our clients to keep up with heightened scrutiny and the new world of compliance.
For Small Firms
ACI will provide newly regulated firms with a professional compliance and/or accounting back-office enabling their personnel to confer with a team of industry experts and former regulators. While ACI cannot serve as the designated CCO, we can eliminate the need to hire an entire regiment of personnel to support the CCO. ACI has a proven record of developing tailored compliance documents and instituting processes necessary to bring our clients into compliance with pertinent regulatory mandates. In addition to working with your COO to meet regulatory standards, the ACI team can teach on-staff professionals how to maintain the compliance program in place or can assume the full time role of the compliance back-office dependent upon the firm’s desired infrastructure.
For Mid- to Large-Size Firms
ACI supports your firm’s compliance officers to develop and implement new compliance policies and procedures, allowing the firm personnel to stay on track with their existing responsibilities. In addition, ACI can serve as an outside auditor, troubleshooting areas of concern, reviewing existing processes, and providing risk assessment and management solutions as a third-party risk evaluator. Partner with ACI to provide much sought after assurance to skittish investors and increase client confidence in your firm.
A Smart Approach to Compliance
ACI takes pride in having developed the largest regulatory compliance and accounting firm on Wall Street. Our no nonsense approach to compliance, accounting, and risk management has brought on fiercely loyal client partnerships, and our staff regularly appears in the media, speaking at a wide-range of industry conferences as experts in litigation. ACI is well known by hedge funds, investment advisors, broker dealers, banks and NFA registered firms for professionalism and custom client solutions. With a quarter century of practical business experience, ACI works with our clients to simplify the process of becoming compliant and often help firms improve overall operational health.
Contact Us: To receive a complimentary compliance consultation email info@acisecure.com or fill out our contact form.
Are you ready for the new world?
In past years compliance has been viewed as an area requiring only minimal effort and oversight and has been one of the go-to places for trimming budgets during cost-cutting initiatives, but in the face of heightened scrutiny by both regulators and clients, firms cannot afford to cut back on the quality of their compliance efforts.
At ACI, we provide both cost-effective and thorough solutions for increasing the quality and efficacy of our custom compliance programs, allowing our clients to keep up with heightened scrutiny and the new world of compliance.
For Small Firms
ACI will provide newly regulated firms with a professional compliance and/or accounting back-office enabling their personnel to confer with a team of industry experts and former regulators. While ACI cannot serve as the designated CCO, we can eliminate the need to hire an entire regiment of personnel to support the CCO. ACI has a proven record of developing tailored compliance documents and instituting processes necessary to bring our clients into compliance with pertinent regulatory mandates. In addition to working with your COO to meet regulatory standards, the ACI team can teach on-staff professionals how to maintain the compliance program in place or can assume the full time role of the compliance back-office dependent upon the firm’s desired infrastructure.
For Mid- to Large-Size Firms
ACI supports your firm’s compliance officers to develop and implement new compliance policies and procedures, allowing the firm personnel to stay on track with their existing responsibilities. In addition, ACI can serve as an outside auditor, troubleshooting areas of concern, reviewing existing processes, and providing risk assessment and management solutions as a third-party risk evaluator. Partner with ACI to provide much sought after assurance to skittish investors and increase client confidence in your firm.
A Smart Approach to Compliance
ACI takes pride in having developed the largest regulatory compliance and accounting firm on Wall Street. Our no nonsense approach to compliance, accounting, and risk management has brought on fiercely loyal client partnerships, and our staff regularly appears in the media, speaking at a wide-range of industry conferences as experts in litigation. ACI is well known by hedge funds, investment advisors, broker dealers, banks and NFA registered firms for professionalism and custom client solutions. With a quarter century of practical business experience, ACI works with our clients to simplify the process of becoming compliant and often help firms improve overall operational health.
Contact Us: To receive a complimentary compliance consultation email info@acisecure.com or fill out our contact form.
