ACA UK

Global Trading Analytics is a consulting firm based in Rutherford, New Jersey, specializing in web-based trading cost analysis across various global markets, including equities, foreign exchange, fixed income, and futures and options. The firm offers customized and independent analysis, employing proprietary methods to accurately measure trading costs within their proper context. By delivering transparent results, Global Trading Analytics enables clients to effectively manage their implicit trading costs, ensuring informed decision-making and improved trading efficiency.

Finop Consulting specializes in providing back-office operational support and financial compliance services to broker-dealers. Their services include accounting, net capital calculations, regulatory filings, recordkeeping, and compliance reviews, ensuring clients adhere to FINRA and SEC standards.

Effecta is a regulatory consulting service company that provides firms with extended compliance support.

Encore Compliance is an AI compliance software solutions provider.

Advanced Regulatory Compliance specializes in providing investment regulatory compliance services tailored for investment advisory firms. The company focuses on proactive support for SEC or state compliance needs, offering various levels of ongoing assistance, including onsite mock audits. Advanced Regulatory Compliance helps firms navigate the complexities of regulatory changes by ensuring that clients receive timely notifications and priority assistance when compliance issues arise. Their comprehensive service offerings also include investment advisor onboarding and registration, compliance risk assessments, and cybersecurity consulting. By providing access to essential compliance templates and dedicated support, Advanced Regulatory Compliance aims to help clients mitigate the regulatory, operational, and reputational risks associated with their investment activities.

Compliance Resource Partners is a regulatory consulting organization that specializes in providing compliance consultancy services to firms in the financial services sector. The company focuses on assisting investment advisers with compliance and registration, while also addressing critical areas such as cybersecurity and data loss protection. By offering customized, hands-on support and transparent advice, Compliance Resource Partners helps organizations navigate complex regulatory challenges, allowing them to concentrate on their core business operations. Their innovative approach aims to simplify the compliance process, making it more manageable and less daunting for businesses, ultimately enhancing productivity and profitability.

Ethos offers personalized ESG data and software for financial advisors, asset managers, institutions, and investors. The company's software helps in aligning money with causes such as racial justice, climate action, LGBTQ equality, mental health, gender equality, education, and more.

Focus 1 Associates is a provider of regulatory compliance services tailored for wealth management, private equity, hedge funds, and diversified financial service firms. The company specializes in SEC compliance reviews, document management, and regulatory assessments, offering a range of services including annual compliance reviews, mock SEC examinations, and new adviser setup. Additionally, Focus 1 Associates provides a compliance university and customizable services to address the specific compliance requirements of SEC-registered investment advisers, ensuring adherence to Rule 206(4)-7 of the Investment Advisers Act. Through its comprehensive offerings, the company aims to assist clients in navigating the complexities of regulatory compliance effectively.

Catelas, established in 2007, specializes in advanced e-Surveillance and risk analytics software for the financial services industry. Its patented Relationship Forensics and Behavioral Analytics algorithms, coupled with traditional content-based technologies and machine learning, automatically identify and mitigate risks within financial communications. Catelas' software helps broker-dealers and control rooms meet heightened regulatory expectations, enabling clients to swiftly detect and address compliance issues without increasing resources. It provides visualizations of complex networks, guiding analysts to the highest risk areas, and is particularly effective in uncovering insider dealing, market manipulation, and the sharing of material non-public information.

Cordium is a prominent global provider of regulatory compliance consulting, software, and accounting and tax services tailored for the asset management and securities industries. With offices located in London, New York, Boston, San Francisco, Malta, and Hong Kong, Cordium employs over 180 experienced professionals who support more than 1,500 investment businesses. The firm serves a diverse client base, including start-ups and established firms across various investment strategies such as private equity, venture capital, real estate, and fixed income. Cordium's focus on the asset management sector allows it to offer relevant expertise in navigating compliance and regulatory challenges. Its services encompass compliance consulting, regulatory disclosures, risk management, financial reporting, and tools like ComplianceTrak, which aids clients in maintaining robust compliance programs. By transforming regulatory compliance into a strategic advantage, Cordium helps clients not only meet their obligations but also enhance their overall business performance.