Internal Investigations for Investment Advisors

To be in compliance with SEC Rule 206, Investment Advisor firms must have a compliance program in place, with a COO to oversee the program, and an annual review of that program. By looking at FINRA regulations for BD firms, Investment Advisor firms can get a more clear picture of what additional requirements these three regulations might encompass. As part of the annual review of the compliance program, ACI can conduct regular internal reviews that assess each area of the firm’s business in order to prevent violation of SEC regulations.

The ACI team has conducted hundreds of confidential internal investigations for financial firms to assess damage after representative malfeasance and has gone onsite at the location of the incident to determine firm liability numbers and supervisory failure damage control.  Our confidential reviews typically are conducted in conjunction with outside counsel to retain attorney-client privilege.  ACI will assess risk factors and detect possible regulatory violations prior regulatory exams in order to ensure that the current programs meet SEC guidelines.  Our internal investigation services include, but are not limited to:

• Identifying key business areas requiring internal investigation.
  

• Conducting internal investigations in all key business areas and sharing recommendations for compliance improvements after red flag identification.

• Recommending an appropriate fix for deficiencies uncovered by internal investigations.

• Assisting with review and due diligence of customer accounts.

To inquire into ACI's Internal Investigation services, contact us at info@acisecure.com.