- Regulatory Compliance
- Cybersecurity and Risk
- Performance Services
- Technology Solutions
ACA excels at conducting simulated regulatory examinations. Our independent examination gives clients realistc insight into how the regulator will examine their books and records and interview staff members.
We conduct an initial scope call or meeting with the Compliance Officer to agree the parameters and depth of the examination and then, within the agreed-upon scope, strive to replicate the regulator's examination processes as closely as possible. Like the regulators, we deliver a document request list seeking information to enable better analysis of the firm’s structure, business lines, controls, and compliance programme. Our team (typically three/four consultants) conducts an on-site examination of selected books and records. Our review includes manuals, monitoring records, internal compliance logs, checklists, certifications, acknowledgements, and other internal reports and documentation supporting the client's compliance/operational processes. ACA also conducts interviews with selected employees, closely simulating interview techniques used by the relevant regulator(s). We walkthrough various compliance and/or operational processes and ask for demonstrations of relevant systems and controls.
Our work is both qualitative and forensic in nature. The final product of our examination is typically two reports – one detailing feedback on the individual staff interviews and one detailing our findings from the overall process. We present and discuss our reports, highlighting areas of priority for the client.
ACA also can create and/or review any of the policies, procedures, disclosures, logs, forms, checklists, exception reports, etc. that ACA recommends as a result of its review. In addition, ACA is able to offer compliance training with respect to any regulatory and/or compliance issues identified.
To learn more about our Mock Examinations, please complete our contact form.
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ACA Performance Services, LLC, ACA Technology, LLC, ACA Risk Strategies, LLC, and ACA Technology Surveillance, Inc. All rights reserved.