ACI Passport to Security

Your Passport to Security

ACCOUNTING & COMPLIANCE INTERNATIONAL

It’s a new age. Rapidly changing regulations

are coming. As an industry, we need to

restore confidence in the financial system

while understanding and managing all

potential risks. Accountability is the new

global standard.

Whether you need registration, risk

assessment, a comprehensive compliance

program or precision accounting services,

you can rely on the world class expertise

of ACI.

Are you ready

regulation?for the new world of

Now more than ever, clients need and

want to know their financial future is

secure. They want to know they can trust

you. Are you able to provide them with

comprehensive statements, account details

and other crucial information? Why not??Are you able tosleep at night

Let ACI help you communicate effectively

with your clients and the regulators.

Who is ultimately

accountable? You are.

You don’t have to be alone. ACI’s team of

former regulators, attorneys, accounting

professionals and compliance experts will

help you understand your risks, where you

need to be from a regulatory standpoint

and how to get there, cost effectively.

Regulators have recently stated that a

periodic, comprehensive, independent

review would have identified problems

before the firm was taken down.

Have you recently had an independent risk

assessment? Was it done by professionals

with the requisite experience to recognize

deficiencies or identify potential red flags?

There’s too much at stake.

Why didn’t you

know ?

Why ACI? Why now?

ACI’s expert team offers results oriented

programs run by an expert team. Our

flexible, cost-effective solutions can be

tailored to meet your unique requirements.

Registration• Broker Dealer

• Investment Advisor

• Hedge Fund

• State & Agent - CRD / IARD

• Investment Company

• Bank / Thrift / Credit Union

Accounting• Focus Reporting

• Financial & Operational Principal

• Liaise with FINRA + other regulators

• Records & Responses for Auditors

• Maintain Books & Records

• Full Service Bookkeeping

• Bank Reconciliation

• Brokerage Statement Analysis

• Financial Statement Preparation

• Preparation of Monthly Net Capital

Outsourcing• Compliance

• Accounting/FINOP

Compliance• Advertising & Marketing Review

• Anti Money Laundering

• AML Audits

• Due Diligence

• Best Execution

• Regulatory Filings

• Annual Compliance Meetings

• Branch Office Audits

• Annual Required Review

• Continuing Education Programs

• Written Supervisory Procedures

• Investment Advisor Manuals

• Hedge Fund Manuals

• Internal Investigations

• Liaise with FINRA + other regulators

• Records & Responses for Auditors

Risk Management• Know Your Customer

• Comprehensive Risk Assessment

• Counter- Party Risk

• Transaction Reporting

• Program Evaluation

Are you ready to navigate the complex global regulatory environment?

Relax. We’ve got your back.

Our experts are on top of their

game, anticipating and analyzing

rules, regulations and issues to

ensure you have the protection

you need.

Before you need it.

40 Wall Street, 34th Floor, N

ew York, N

Y 10005 21

2.6

68

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w.acisecure.com