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
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.