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 company offers custom and independent analysis, utilizing proprietary methods to measure trading costs accurately and transparently. This enables clients to effectively manage their implicit trading costs, ensuring they have the necessary insights to optimize their trading strategies. Global Trading Analytics is dedicated to providing reliable results that facilitate informed decision-making in the complex landscape of financial markets.

FinOp Consulting provides consultancy services for Back Office Operations, Broker-Dealer Bookkeeping, and Financial Responsibility Compliance.

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 comprehensive investment regulatory compliance services to investment advisory firms. The firm focuses on ensuring that clients meet their SEC or state compliance requirements through proactive support. Their offerings include various levels of ongoing compliance assistance, such as mock audits, investment advisor onboarding and registration, compliance risk assessments, and cybersecurity consulting. By dedicating compliance consultants to each client, Advanced Regulatory Compliance aims to provide priority assistance during compliance-related issues and proactively inform clients about significant regulatory changes that may require action. This approach helps firms mitigate the regulatory, operational, and reputational risks associated with their investment operations.

Compliance Resource Partners is a regulatory consulting organization that specializes in assisting investment advisers with compliance and registration challenges. The firm focuses on providing tailored compliance solutions and hands-on support to help financial services organizations navigate the complexities of regulatory requirements. With expertise in areas such as cybersecurity, data loss protection, and financial planning software, Compliance Resource Partners aims to simplify compliance processes, allowing businesses to concentrate on their core operations. By addressing compliance issues proactively, the firm enhances productivity and profitability for its clients, ensuring they remain informed and responsive to evolving regulatory landscapes.

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 company that provides regulatory compliance services tailored for wealth management, private equity, hedge funds, and diversified financial service firms. Their offerings include annual compliance reviews, mock SEC examinations, new adviser setup, and a range of customized services designed to meet the specific compliance requirements of SEC-registered investment advisers under Rule 206(4)-7 of the Investment Advisers Act. Additionally, the firm emphasizes document management and consulting, ensuring that clients receive comprehensive support for their regulatory needs.

Founded in 2007, Catelas is the leading next generation e-Surveillance & Risk Analytics software on the market today. Catelas’ patented Relationship ForensicsTM & Behavioral Analytics algorithms, combined with traditional Content based Lexicon & Clustering technologies, within a Machine Learning framework to automatically uncover risk within every message passing through a financial services firm. “Catelas represents the next generation of risk-based eCommunications surveillance and investigation solutions for the financial services industry,” said Rob Lang, Vice President and Global Head of SMARTS, NASDAQ OMX. Catelas software helps both broker dealer supervision and control room surveillance meet the raised regulatory expectations. Our clients need to proactively identify compliance issues much more quickly and effectively than ever before - and get ahead of them fast. Without increasing resources, our clients operate a far more comprehensive and defensible compliance program, positioning them well with regulators. Insider dealing, market manipulation, and the movement and sharing of Material Non-Public Information (MNPI) are activities conducted between individuals with strong trusted relationships. Patented algorithms, based on Relationship ForensicsTM & Behavioral Science, present the compliance analyst with an unprecedented view into how business is conducted. Catelas uncovers who matters and how they connect within these large collaborative networks. Analysts visualize Information Barriers, Control Rooms, Watch List networks, and Bloomberg Chat rooms, and are automatically guided to where the risks are greatest

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.