Resources for small to mid sized firms

ACI works closely with our clients to consult with them and educate them on the regulatory requirements that effect their firms and develop accounting and compliance programs that adhere to FINRA and SEC regulations. Below are some common resources that ACI uses to keep up to date with the latest regulatory information, public disclosures, and FINRA template updates.

WEBSITES
FINRA WEBSITE
SEC WEBSITE
ACI BLOG
BROKER CHECK 
Provides disclosure history for FINRA Registered Representatives/Brokers and Brokerage firms.
INVESTMENT ADVISOR SEARCH 
Provides information about current and former Investment Adviser Representatives (IARs) and Investment Adviser firms registered with the SEC and/or state securities regulators.

TEMPLATES
A template will always need to be customized to the firm's unique business risks and practices and should never be used as is without customization. ACI specializes in customizing compliance documents to the unique risks of the firm. 

AML Template for Small Firms
Business Continuity Plan Template 

Contact ACI at: info@acisecure.com or 212-668-8700 




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