Partnership to Provide Clients with a Tech-Forward Approach to Compliance Via Two Cutting-Edge Solutions
San Francisco, CA / March 21, 2024 – Adviser Compliance Consulting Inc. (“ACC”), a compliance consulting firm that provides proactive compliance solutions, is partnering with Aer Compliance, a leading provider of registered investment adviser compliance technology solutions, to offer clients two tech products designed to reduce human error, streamline compliance processes and create significant efficiencies.
The solutions – an intuitive, automated Employee Code of Ethics Suite, and a new AI-powered SEC marketing review tool – are designed to streamline efforts for all who oversee SEC-related compliance initiatives – from CCOs to GCs.
“Some of the biggest challenges our clients face relate to code of ethics tracking and reporting and marketing content reviews,” said Tito Pombra, President and Founder of ACC. “These efforts are typically time-consuming and require a significant amount of manual effort to complete. Our partnership with Aer Compliance offers our clients a better, more reliable alternative to the traditional tracking and monitoring methods.”
“We are excited to partner with ACC to offer clients access to these two modern, user-friendly tech products, not only to make the compliance function more efficient, but more importantly, to enable them to leverage compliance as a competitive edge,” said Owen Rapaport, Co-Founder and CEO of Aer Compliance.
The Employee Code of Ethics Suite provides a systematic means to monitor and report on employees, reducing risk through automation. It reports on daily code of ethics compliance tasks, tracking thousands of accounts, including neobrokerages, international accounts and crypto exchanges and wallets, through an easy-to-use interface. The platform allows firms to easily monitor:
- Employee investments, such as securities, trade pre-clearance and private investments
- Other activities records, including political donations, gifts and hospitality, outside business interests, and conflicts and attestations
- Compliance workflows, such as control room, case management and full audit capabilities
Aer’s new marketing review tool acts as a member of the compliance team, performing initial reviews of marketing content for unsubstantiated statements of material facts, gross versus net performance, improper disclosures and more. The technology provides:
- An AI-driven large language model
- Easy collaboration functionality
- A single source of truth for SEC examinations
For more information visit: outsourcecco.com/technology
About Adviser Compliance Consulting Inc.
Adviser Compliance Consulting Inc. is a compliance consulting firm that provides proactive compliance solutions, specializing in outsourced CCO and deputy CCO support, to registered investment advisers, hedge funds, private funds, investment companies, private equity, CFTC-registered advisers and more. We have extensive experience in the global asset management industry, which includes more than 25 years working with investment companies and investment advisers in the regulatory compliance space.
To learn more, visit: outsourcecco.com
About Aer Compliance
Aer Compliance is the first holistic solution uniting code of ethics and AI-powered marketing rule review. Aer’s supercharges compliance officers’ workflows through intuitive software that gives them the time to focus on more complex work. Aer offers best-in-class connectivity to brokers and exchanges, automated rules engine for reviewing employee activity, and AI review of marketing content. Clients love Aer for their software and white-glove customer service – including responding to client emails within two hours. Their commitment to client services extends throughout the company – from live tech training sessions to no implementation fees.
Learn more at: aercompliance.com
