Popular Compliance Solutions for Broker-Dealers
Comprehensive C3 Solution®
ACA designed its C3 Solution® to assist broker-dealers with ongoing compliance program management. In fact, the support provided by our C3 services relieves these firms of the majority of annual compliance-related tasks, including the performance of the annual compliance program review, supervisory control testing, independent anti-money laundering testing, the development and maintenance of written supervisory procedures, and continuing education needs analysis/training plan. The services also include support during FINRA onsite examinations, assistance with regulatory inquiries, and help with the annual compliance meeting.
Compliance Cornerstone
The Compliance Cornerstone service offers broker-dealers unlimited consultations, access to ACA’s library of compliance documents, a subscription to ACA’s quarterly compliance newsletter, and a a high level analysis of their written supervisory procedures. The program also includes assistance with continuing education needs analysis/training plans and annual compliance meeting agenda.
Compliance Assistant
For broker-dealers with limited needs, the Compliance Assistant service offers unlimited consultation and access to ACA’s library of compliance documents.