2. Are you ready Itβs a new age. Rapidly changing regulations
are coming. As an industry, we need to
for the new world of restore confidence in the financial system
regulation? 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.
3. ?
Are you able to Now more than ever, clients need and
sleep at night 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?
Let ACI help you communicate effectively
with your clients and the regulators.
4. Who is
ultimately
accountable? You are.
You donβt have to be alone. ACIβs 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.
5. Why didnβt Regulators have recently stated that a
periodic, comprehensive, independent
you review would have identified problems
know ? 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?
Thereβs too much at stake.
6. Registration Compliance
β’ Broker Dealer β’ Advertising & Marketing Review
β’ Investment Advisor β’ Anti Money Laundering
β’ Hedge Fund β’ AML Audits
β’ State & Agent - CRD / IARD β’ Due Diligence
β’ Investment Company β’ Best Execution
β’ Bank / Thrift / Credit Union β’ Regulatory Filings
β’ Annual Compliance Meetings
β’ Branch Office Audits
Accounting
β’ Annual Required Review
Why ACI? Why now? β’ Focus Reporting
β’ Continuing Education Programs
β’ Financial & Operational Principal
β’ Written Supervisory Procedures
β’ Liaise with FINRA + other regulators
β’ Investment Advisor Manuals
β’ Records & Responses for Auditors
β’ Hedge Fund Manuals
β’ Maintain Books & Records
β’ Internal Investigations
β’ Full Service Bookkeeping
β’ Liaise with FINRA + other regulators
β’ Bank Reconciliation
β’ Records & Responses for Auditors
β’ Brokerage Statement Analysis
β’ Financial Statement Preparation
Risk Management
β’ Preparation of Monthly Net Capital
β’ Know Your Customer
ACIβs expert team offers results oriented
β’ Comprehensive Risk Assessment
Outsourcing
programs run by an expert team. Our β’ Counter- Party Risk
β’ Compliance
flexible, cost-effective solutions can be β’ Transaction Reporting
β’ Accounting/FINOP
tailored to meet your unique requirements. β’ Program Evaluation
7. Are you ready
to navigate the
complex global
regulatory
environment?
8. Our experts are on top of their
game, anticipating and analyzing
rules, regulations and issues to
ensure you have the protection
you need.
Relax.
Before you need it. Weβve got your back.
