(1) ACI provides registration, accounting, compliance, and risk management services to financial firms to help them navigate increasing regulation. (2) Their full-service accounting team handles bookkeeping, financial reporting, taxes, and other accounting needs specific to financial clients. (3) ACI's compliance experts develop customized compliance programs and provide ongoing support to ensure clients remain up-to-date on regulations.

1. Your Passport to Security
ACCOUNTABILITY IS THE NEW GLOBAL STANDARD O U R C A PA B I L I T I E S
It’s a new age. Rapidly changing regulations are coming. As an industry, we need to restore REGISTRATION
• Broker Dealer
confidence in the financial system while understanding and managing all potential risks.
• Investment Advisor
Are you ready for the new world of regulation?
• Hedge Fund
• State & Agent - CRD / IARD
Whether you need registration, risk assessment, a comprehensive compliance program or • Investment Company
precision accounting services, you can rely on the world class expertise of ACI. • Bank / Thrift / Credit Union
ACCOUNTING
ACI - ACCOUNTING & COMPLIANCE INTERNATIONAL • Focus Reporting
ACI was formed in 1984. Over the years, it has expanded its operations to include noted financial industry • Financial & Operational Principal
veterans – former regulators, attorneys, accountants and compliance experts. The firm’s combined focus • Liaise with SEC / Regulators / Auditors
is to assist clients in managing the complexities of today’s rapidly changing regulatory environment. Our • Taxes - Personal & Entity Returns
clients are investment managers, banks, broker-dealers and hedge funds, each relying on ACI as they face • Maintain Books & Records
overwhelming challenges. • Full Service Bookkeeping
• Bank Reconciliation
REGISTRATION • Brokerage Statement Analysis
Registration requirements are increasing for everyone. The financial services industry is in constant flux and • Financial Statement Preparation
our experts are on top of changes and involved in discussions before changes are made. When you need • Preparation of Monthly Net Capital
to ensure that your registration process runs efficiently and cost-effectively, count on the experts at ACI.
COMPLIANCE
ACCOUNTING • Advertising & Marketing Review
ACI has a full-service accounting team with over 20 years of experience in handling the full range of • Anti Money Laundering
accounting services for financial services clients. From full-service bookkeeping to financial statement • AML Audits
preparation and maintenance of books and records, our core accounting services will ensure that your • Due Diligence
number are right, and reported correctly. We also perform services specific to the financial services sector • Best Execution
such as Focus Reporting and liaising with SEC and other regulators. • Regulatory Filings
• Annual Compliance Meetings
COMPLIANCE • Branch Office Audits
ACI specializes in providing straightforward, cost-effective compliance programs that give you peace of • Annual Review
mind, ensuring you have the tools and proper guidance to remain compliant and up-to-date in today’s ever • Continuing Education Programs
changing regulatory environment. Combining compliance expertise with regulatory insight and legal • Written Supervisory Procedures
expertise, ACI offers a broad array of programs, tailored specifically to each client. • Investment Advisor Manuals
• Hedge Fund Manuals
RISK MANAGEMENT • Internal Investigations
Risk comes in many flavors and colors; it is not simply leverage. Let ACI help you decipher your counter- • Liaise with SEC + other regulators
party exposure, business risks, due diligence issues and any other red flags that arise. Whether you need • Records & Responses for Auditors
our team to review your books, evaluate your overall risk management program or review suspicious activity,
you can be assured that our team will quickly and discreetly assess the situation. RISK MANAGEMENT
• Know Your Customer
Our clients are secure that ACI’s experts are on top of the ever-evolving regulatory landscape and have • Comprehensive Risk Assessment
the right mix of skill, experience and background to address even the most daunting problem. ACI takes • Counter-Party Risk
a collaborative approach to all of our client projects, selecting team members based on each specific • Transaction Reporting
assignment in order to maximize the value to our clients. Whether you are an investment advisor, broker- • Program Evaluation
dealer, banking entity or hedge fund, count on the expertise of ACI.
OUTSOURCING
Contact us today to discuss your firm’s registration, accounting and compliance requirements and find • Compliance
out how ACI can be your passport to security. • Bookkeeping / Accounting / FINOP
Accounting & Compliance International • 40 Wall Street, 34th Floor • New York, NY 10005 • 212 668 8700 • info@acisecure.com