Accounting & Compliance International • 40 Wall Street, 34th Floor • New York, NY 10005 • 212 668 8700 • info@acisecure.com

ACI - ACCOUNTING & COMPLIANCE INTERNATIONALACI was formed in 1984. Over the years, it has expanded its operations to include noted financial industryveterans – former regulators, attorneys, accountants and compliance experts. The firm’s combined focusis to assist clients in managing the complexities of today’s rapidly changing regulatory environment. Ourclients are investment managers, banks, broker-dealers and hedge funds, each relying on ACI as they faceoverwhelming challenges.

REGISTRATIONRegistration requirements are increasing for everyone. The financial services industry is in constant flux andour experts are on top of changes and involved in discussions before changes are made.When you needto ensure that your registration process runs efficiently and cost-effectively, count on the experts at ACI.

ACCOUNTINGACI has a full-service accounting team with over 20 years of experience in handling the full range ofaccounting services for financial services clients. From full-service bookkeeping to financial statementpreparation and maintenance of books and records, our core accounting services will ensure that yournumber are right, and reported correctly.We also perform services specific to the financial services sectorsuch as Focus Reporting and liaising with SEC and other regulators.

COMPLIANCEACI specializes in providing straightforward, cost-effective compliance programs that give you peace ofmind, ensuring you have the tools and proper guidance to remain compliant and up-to-date in today’s everchanging regulatory environment. Combining compliance expertise with regulatory insight and legalexpertise, ACI offers a broad array of programs, tailored specifically to each client.

RISK MANAGEMENTRisk comes in many flavors and colors; it is not simply leverage. Let ACI help you decipher your counter-party exposure, business risks, due diligence issues and any other red flags that arise.Whether you needour team to review your books, evaluate your overall risk management program or review suspicious activity,you can be assured that our team will quickly and discreetly assess the situation.

Our clients are secure that ACI’s experts are on top of the ever-evolving regulatory landscape and havethe right mix of skill, experience and background to address even the most daunting problem. ACI takesa collaborative approach to all of our client projects, selecting team members based on each specificassignment in order to maximize the value to our clients. Whether you are an investment advisor, broker-dealer, banking entity or hedge fund, count on the expertise of ACI.

Contact us today to discuss your firm’s registration, accounting and compliance requirements and findout how ACI can be your passport to security.

It’s a new age. Rapidly changing regulations are coming. As an industry, we need to restoreconfidence in the financial system while understanding and managing all potential risks.Are you ready for the new world of regulation?

Whether you need registration, risk assessment, a comprehensive compliance program orprecision accounting services, you can rely on the world class expertise of ACI.

REGISTRATION• Broker Dealer• Investment Advisor• Hedge Fund• State & Agent - CRD / IARD• Investment Company• Bank / Thrift / Credit Union

ACCOUNTING• Focus Reporting• Financial & Operational Principal• Liaise with SEC / Regulators / Auditors• Taxes - Personal & Entity Returns• Maintain Books & Records• Full Service Bookkeeping• Bank Reconciliation• Brokerage Statement Analysis• Financial Statement Preparation• Preparation of Monthly Net Capital

COMPLIANCE• Advertising & Marketing Review• Anti Money Laundering• AML Audits• Due Diligence• Best Execution• Regulatory Filings• Annual Compliance Meetings• Branch Office Audits• Annual Review• Continuing Education Programs• Written Supervisory Procedures• Investment Advisor Manuals• Hedge Fund Manuals• Internal Investigations• Liaise with SEC + other regulators• Records & Responses for Auditors

RISK MANAGEMENT• Know Your Customer• Comprehensive Risk Assessment• Counter-Party Risk• Transaction Reporting• Program Evaluation

OUTSOURCING• Compliance• Bookkeeping / Accounting / FINOP

O U R C A PA B I L I T I E S

Your Passport to Security

ACCOUNTABILITY IS THE NEW GLOBAL STANDARD