Let ACA become the heavy lifter for your compliance tasks

59 Pages·2017·15.67 MB·English

Let ACA become the
heavy lifter for your
compliance tasks
We can help with:
• Compliance program reviews
• Anti-Money laundering testing
• Supervisory control testing
• Written supervisory procedures
• Email surveillance
• Marketing reviews
• Cybersecurity reviews
• Trade surveillance
For more information on
ACA Compliance Group, contact
Dee Stafford by phone at
[phone] or by email at
[email protected]
acacompliancegroup.com
FINRA-2016-Graphic-print.pdf 1 3/31/2017 10:33:55 AM
U N L E A S H S O C I A L B U S I N E S S
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There are thousands of alternative
investments — and they’re not all created
equal. How do you choose and manage
ongoing client expectations?
Alternative Investment Insight through Training,
Let AI Insight help.
Education and Increased Efficiency
Hard-to-find product information...
AT YOUR FINGERTIPS
• Review independent, unbiased program summaries
for hundreds of alternative investments.
• Create powerful comparison reports based on offering
price, distribution rates, compensation, fees, net proceeds
and more.
• Keep up-to-date with the financial performance of products
with report data directly from quarterly and annual filings. Set
custom email alerts to stay abreast of changes throughout the
investment’s lifecycle.
Customizable training... MADE EASY
• Provide advisors with regulatory-compliant training on
product features, risks and suitability using prospectus- and
PPM-based modules.
• Create customized training for each approved product on the
platform, incorporating firm-specific requirements.
• Review all aspects of offering fee structures to assist with DOL
Best Interest Contract Exemption requirements.
Centralized compliance documentation...
STREAMLINES YOUR COMPLIANCE EFFORTS
• Document your training for advisors per regulatory notices and
support your DOL fiduciary rule requirements for reasonable
compensation review.
• Download on-demand compliance reports, including consolidated
training and research logs, failed question analysis and current
or past selling agreements
 Compliance Program Reviews  IA / BD Formation & Filings
 Risk Management Assessments  Ongoing Reviews of Employee and
 AML Policy & Procedures Proprietary Trading
 AML Regulatory Response  Onsite Inspection Support
 AML Lookbacks, BAU Transactions  13F, 13G, and 13H Report Filings
 Forms and WSPs  IARD Administration
 Regulatory Filings Support and  Expense Allocation Practices
Reviews  Supervision
 SEC and State Registrations  Ongoing Compliance Support
Contact BCS by phone at [phone]
or email [email protected]
Visit Bates Group at Booth # 51

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www.batesgroup.com

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an optimized and scalable IT portfolio and Security Program, by providing Infrastructure Optimization Solutions, Managed Network All other referenced brands, product names, service names and/or
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enterprise and has a formal initiative in place to engage and mentor various certifi ed minority, local, small and disadvantaged business 2017 BlueAlly, LLC. All rights reserved. 201704
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