AccountABilitY is the neW gloBAl stAnDArD. comPlYing With regulAtorY requirements shoulD Be Business enhAncing, not hinDering Accounting & compliance international Your Passport to security www.acisecure.com Accounting, FinoP & comPliAnce services
Accounting & Compliance International believes that complying with regulatory requirements should be business enhancing, not business hindering. By developing tailored programs for our clients that account for hte individual risks of the firm relating to size, strategy, strucutre, and business practices, ACI is able to create and maintain cost effective business and regulatory programs that will withstand the scrutiny of regulators, auditors, and investors.
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comPlYing With regulAtorY requirements shoulD Be Business
enhAncing, not hinDering Accounting, FinoP & comPliAnce
services AccountABilitY is the neW gloBAl stAnDArD. Accounting
& compliance international Your Passport to security
www.acisecure.com
comPAnY overvieW Accounting, FinoP & BookkeePing Broker
DeAler comPliAnce heDge FunD & riA comPliAnce contAct us theYre
looking At You through A mAgniFYing glAss. Are You PrePAreD?
Accounting & compliance international 40 Wall st, 34th Floor
new York, nY 10005 212-668-8700 [email protected]
comPAnY overvieW Aci comPAnY overvieW Aci believes that
complying with regulatory requirements should be business
enhancing, not business hindering. By developing tailored programs
for our clients that account for the individual risks of the firm
relating to size, strategy, structure, and business practices, Aci
is able to create and maintain cost effective business and
regulatory programs that will withstand the scrutiny of regulators,
auditors, and investors. Acis consulting programs are supported by
more than 25 years of expertise within the financial industry.
Design and maintain your compliance and accounting programs with
Aci. our clients incluDe Broker Dealers investment Advisers hedge
Funds corPorAte heADquArters 40 Wall st, 34th Floor, new York nY
10005 regional representatives throughout the usA AreAs oF
exPertise Accounting, BookkeePing & FinoP comPliAnce services
Accounting services: registration Bank reconciliations new
membership Applications Bookkeeping continuing membership
Applications Brokerage statement Analysis 1017 Additional lines of
Business/material change Financial statement Preparation membership
Withdrawals net capital computations u4 / u5 Filings Focus
reporting Form ADv Part i and ii FinoP outsourcing compliance
Documents & infrastructure FinrA examination support compliance
manuals/code of ethics/Privacy Policy entity/Personal taxation
Business continuity Plans Accounting Due Diligence Aml Procedures
Audits & reviews Aci specializes in Broker Dealer Accounting,
but additional Aml Audits capabilities include corporate accounting
for small to supervisory controls review & ceo certification
medium sized businesses such as law firms, corporate Advertising
and marketing reviews real estate companies, architectural firms,
and high Brokerage statement reviews email reviews net-worth
individuals. Due Diligence Annual compliance meeting internal
inspections osJ and Branch office examinations mock sec/FinrA
Audits consulting support onsite and telephone consulting exam
Preparation and checklists onsite exam management regulatory
comment letters & inquiries Arbitration and litigation support
sec Filings Accounting & compliance international 40 Wall st,
34th Floor new York, nY 10005 212-668-8700 [email protected] Page
1
Accounting, BookkeePing & FinoP services BAnk
reconciliAtions Accounting outsourcing Aci exercises care in
reconciling bank accounts on a monthly basis. Access to online bank
statements ensures that Aci can reconcile bank accounts early in
the month and provide Aci has over 25 years of experience handling
accurate bank balances to the client at all times. the full range
of accounting services for financial industry clients. While
specializing in BookkeePing broker dealer accounting, Aci also
works with Aci provides full-scale bookkeeping services. each
client is other small to medium sized businesses to assigned a
primary and secondary bookkeeper to record all provide accounting
and bookkeeping services. receivables, analyze and record invoices
into accounts payable, cut checks and process payroll. We provide
oversight and accurate reporting BrokerAge stAtement AnAlYsis for
our clients regarding all accounting matters. introducing broker
dealer firms that are unable to clear their own trades often opt to
clear their trades through larger firms. Accounting outsourcing
services Aci is familiar with the statements generated by most
clearing Bank reconciliations firms and is trained to accurately
analyze & reconcile these Bookkeeping accounts. Brokerage
statement Analysis FinAnciAl stAtement PrePArAtion Financial
statement Preparation Aci produces accurate and timely financial
statements for all net capital computations end users, inclusive of
a balance sheet, income statement and Focus reporting general
ledger detailing all monthly activity. reports are FinoP
outsourcing provided to the client within 17 business days of month
end, FinrA examination support as required by FinrA.
entity/Personal taxation net cAPitAl comPutAtions Accounting Due
Diligence Aci prepares monthly net capital computations and
provides guidance as to whether or not to infuse additional capital
to avoid regulatory violations. net capital computations can be
performed during the month if net capital deficiencies are
anticipated. Focus rePorting/FinoP sec rule 17a-5 requires all
broker dealers to file monthly/ quarterly Focus reports. Aci has
earned a reputation as the premier provider of Focus reporting for
new York stock exchange member firms. Aci employees can also serve
in the FinoP capacity, often saving clients a significant cost
burden. Accounting You cAn A Financial operations Principal is
required for all direct access broker dealer firms regulated by
FinrA. count on to Be AccurAte. FinrA exAminAtion suPPort FinrA
conducts an annual review of each member firm to ensure the
accuracy & fairness of the financial statements being reported.
As the provider of accounting services, Aci prepares all documents
required to perform the review and works with the examiners to
answer any financial questions. entitY/PersonAl tAxAtion Aci
prepares and files federal, state, and city entity tax returns for
our accounting clients to ensure precision and accuracy in tax
planning. We also file hundreds of individual returns for both
owners and employees of the clients we service. Accounting Due
Diligence Aci will review the accounting history and records for
potential broker dealer purchases to ensure the firm has previously
maintained compliance with FinrA regulations. Page 2 Accounting
& compliance international 40 Wall st, 34th Floor new York, nY
10005 212-668-8700 [email protected]
Broker DeAler comPliAnce Broker DeAler comPliAnce registrAtions
& WithDrAWAls Aci provides consulting support to determine the
best course of action when looking to start or close a broker Aci
provides compliance consulting services for dealer firm. We can
work with your firm to execute on a broker dealers to ensure that
they are compliant new membership Application, 1017 change in
ownership with applicable rules and regulations of FinrA, the
Application, or Withdrawal sec, or any other regulatory body that
governs Application. Aci also assists with filing u4 and u5 forms
their business. for registered representatives. Broker Dealer
compliance consulting services comPliAnce Documents &
inFrAstructure registrations & Withdrawals Aci works with
clients to tailor the firms written new membership Applications
supervisory procedures, code of ethics, privacy policy, continuing
membership Applications business continuity plans and Aml
procedures to create 1017 Additional lines of Business/material
change a supervisory structure that accounts for each unique
membership Withdrawals business model. Aci can develop this
infrastructure with u4 / u5 Filings your firm as well as provide
maintenance if and when the compliance Documents &
infrastructure infrastructure has been established. compliance
manuals/code of ethics/Privacy Policy Business continuity Plans
AuDits AnD revieWs Aml Procedures Acis compliance professionals
guide your firm through the Audits & reviews appropriate
compliance review program to identify and Aml Audits improve
weaknesses and deficiencies. At the end of a supervisory controls
review & ceo certification review, Aci provides the client with
a verbal summary of Advertising and marketing reviews findings as
well as a written report with recommendations. Brokerage statement
reviews these reviews include: email reviews Aml AuDit Due
Diligence Aci writes Aml prevention procedures to detect Best
execution suspicious securities transactions and conducts the Aml
Annual compliance meeting / continuing education audit. internal
inspections osJs and Branch office exams suPervisorY controls
revieW mock sec/FinrA Audits Aci conducts a gAP Analysis of the
written supervisory procedures against firm practices and provides
consulting support recommendations on areas that would be enhanced
by onsite and telephone consulting updates. exam Preparation and
checklists onsite exam management ADvertising & mArketing
revieWs regulatory comment letters & inquiries Aci reviews
materials and consults on required changes. Arbitration and
litigation support sec Filings Due Diligence Aci oversees due
diligence reviews for our clients. AnnuAl comPliAnce meeting
/continuing eDucAtion Aci can assist your firm with holding the
annual compliance meeting and developing and implementing other
continuing education programs. internAl insPections/ osJ AnD BrAnch
oFFice exAms Aci conducts inspections of the broker dealers home
office and branch office exams to fulfill the inspection
requirement. Aci also conducts mock exams to get your firm ready
for upcoming sec or FinrA Audits. consulting suPPort is comPliAnce
hinDering Aci can provide monthly compliance and consulting to keep
your firm informed of the latest regulations and Your Business?
answer any compliance questions or concerns that may arise within
your firm. this could include quarterly onsite visits, telephone
support, assistance with sec filings and pre/post exam support.
Accounting & compliance international 40 Wall st, 34th Floor
new York, nY 10005 212-668-8700 [email protected] Page 3
heDge FunD & riA comPliAnce investment ADvisor registrAtion
heDge FunD services sec registration Preliminary Business consult
to advise the client Preparation and filing of Form ADv Part i Aci
remains cutting edge with the latest Preparation of iArD
entitlement forms for electronic filing regulatory changes and
develops speciality Development (or review) of programs that meet
those regulations while o Policies and Procedures keeping your firm
competitive and focused on o code of ethics business growth. o
Privacy Policy o schedule F hedge Fund and riA compliance Programs
Preparation Form ADv Part ii/the Brochure investment Advisor
registration: sec/state state registration(s) compliance
infrastructure Development customized based on Blue sky laws for
each state o Aml procedures comPliAnce inFrAstructure DeveloPment o
Business continuity Plan Aci assists your firm to develop a
streamlined compliance o code of ethics program that makes the best
use of both internal and external o Policies and Procedures
resources. services may include: o Privacy Policy Development of
integral compliance documents: Documented compliance reviews &
Audits o Aml Procedures compliance continuity checks o Business
continuity Plan o Pre/Post exam services o code of ethics
compliance outsourcing o Policies and Procedures o ongoing
compliance o Privacy Policy o quarterly compliance Development of
an implementation plan o Annual compliance Development of an annual
compliance calendar compliance training quarterly onsite visits and
telephone access to an Aci consultant for consulting support
DocumenteD comPliAnce revieWs AnD AuDits Aci recognizes the
pressure placed on funds by investors who are seeking consistent
messaging and greater transparency. Aci works with your firm to
conduct a series of reviews and reports to share with your
investors. Advertising & marketing reviews Annual review /
quarterly reviews code of ethics reviews Due Diligence reviews Form
ADv review and Annual update mock sec exam + Findings report
comPliAnce continuitY checks Aci can conduct a risk Assessment of
your existing compliance program to discover and rectify gaps and
inconsistencies between procedures and practices in key risk areas.
We can also update procedures to develop processes that will
minimize operational risks sec exam Preparation including provision
of document Are You AheAD oF the request lists and checklists mock
sec exams to familiarize your firm with the lAtest regulAtions?
examination process Post-sec exam support to respond to comment
letters Page 4 Accounting & compliance international 40 Wall
st, 34th Floor new York, nY 10005 212-668-8700
[email protected]
contAct us heDge FunD & riA comPliAnce outsourcing Welcome
to the neW WorlD Aci can work with the cco to oversee the
implementation of your oF regulAtion compliance program.
maintaining a compliance program can be a daunting task for a cco
or even a team of compliance professionals. For ongoing support in
maintaining your existing compliance program, Aci can assist in the
following areas: ongoing support telephone support for the firms
cco and staff Assist client in setting up an automated personal
trading platform, if deemed necessary based on size and trade
volume, for automated pre-clearance review of employee emails
review of advertising & marketing materials as needed
Development of an annual compliance calendar (based on firm
policies with reminders to conduct tasks) quarterly on-site reviews
quarterly on-site review of the compliance program contAct us
training programs for compliance staff, management and employees to
facilitate compliance implementation review and update of code of
ethics, privacy policy and policies and procedures Annual
requirements and updates Assist with Form ADv Part i and ii updates
Assist with sec Filings Due Diligence review of investors, service
providers and related Aci - Accounting & comPliAnce companies
internAtionAl review of offering documents, disclosures and
applicable 40 WAll street, 34th Floor schedules neW York, nY 10005
Aml Audit (if Aml procedures in place) FAx: 917 591-1440 Annual
review Phone: 212-668-8700 emAil: [email protected] Accounting
& compliance international 40 Wall st, 34th Floor new York, nY
10005 212-668-8700 [email protected] Page 5
contAct Accounting & comPliAnce internAtionAl 40 WAll
street, 34th Floor neW York, nY 10005 FAx: 917 591-1440 Phone:
212-668-8700 emAil: [email protected] Accounting outsourcing
services comPliAnce outsourcing services Bank reconciliations
registration Bookkeeping new membership Applications Brokerage
statement Analysis continuing membership Applications Financial
statement Preparation 1017 Additional lines of Business/material
change net capital computations membership Withdrawals Focus
reporting u4 / u5 Filings FinoP Form ADv Part i and ii FinrA
examination support entity/Personal taxation compliance Documents
& infrastructure Accounting Due Diligence compliance
manuals/code of ethics/Privacy Policy Business continuity Plans Aml
Procedures Audits & reviews Aml Audits supervisory controls
review & ceo certification Advertising and marketing reviews
Brokerage statement reviews email reviews Due Diligence Annual
compliance meeting internal inspections osJ and Branch office
examinations mock sec/FinrA Audits consulting support onsites and
telephone consulting exam Preparation and checklists onsite exam
management regulatory comment letters & inquiries Arbitration
and litigation support sec Filings WWW.Acisecure.com