ACI Passport to Security

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ACI Passport to Security

  1. 1. Your Passport to Security ACCOUNTING & COMPLIANCE INTERNATIONAL
  2. 2. Are you ready It’s 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. 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. 4. 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.
  5. 5. Why didn’t 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? There’s too much at stake.
  6. 6. Registration Compliance • Broker Dealer • Advertising & Marketing Review • Investment Advisor • Anti Money Laundering • Hedge Fund • AML Audits • State & Agent - CRD / IARD • Due Diligence • Investment Company • Best Execution • Bank / Thrift / Credit Union • Regulatory Filings • Annual Compliance Meetings • Branch Office Audits Accounting • Annual Required Review Why ACI? Why now? • Focus Reporting • Continuing Education Programs • Financial & Operational Principal • Written Supervisory Procedures • Liaise with FINRA + other regulators • Investment Advisor Manuals • Records & Responses for Auditors • Hedge Fund Manuals • Maintain Books & Records • Internal Investigations • Full Service Bookkeeping • Liaise with FINRA + other regulators • Bank Reconciliation • Records & Responses for Auditors • Brokerage Statement Analysis • Financial Statement Preparation Risk Management • Preparation of Monthly Net Capital • Know Your Customer ACI’s expert team offers results oriented • Comprehensive Risk Assessment Outsourcing programs run by an expert team. Our • Counter- Party Risk • Compliance flexible, cost-effective solutions can be • Transaction Reporting • Accounting/FINOP tailored to meet your unique requirements. • Program Evaluation
  7. 7. Are you ready to navigate the complex global regulatory environment?
  8. 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. We’ve got your back.
  9. 9. www.acisecure.com 40 Wall Street, 34th Floor, New York, NY 10005 212.668.8700

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