Broker-Dealer Compliance Management to Meet FINRA Regulations | Written Supervisory Policies and Procedures (WSPs) Implementation

"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