"FINRA was in and out of our firm in three days. They said that the ACS
system was a key reason they knew we were building a solid culture of compliance within our startup."
COO of a broker-dealer established in 2008

ACS Compliance Risk Management for
Broker-Dealers
ACS is the industry’s leading compliance risk management software-as-a-service for broker-dealers. ACS allows broker-dealers to automate their Written Supervisory Policies and Procedures (WSPs) and document their adherence to them. ACS uses sophisticated technology to arm small and medium sized broker-dealers with the same capabilities for supervisory compliance oversight that larger firms have.
- Maintains your compliance operations without interruption by automating your firm’s existing Written Supervisory Policies and Procedures
- Easily and quickly modifiable for implementing new FINRA, SEC and other regulatory agency requirements
- Delivers compliance continuity when your CCO or compliance staff is not available
- Improves the quality and documentation of critical Anti-Money Laundering supervisory reviews
- Increases the productivity of your compliance staff while minimizing the risk of non compliant events
- Stores your compliance documentation offsite in a disaster recovery facility with nightly back-up