Compliance Outsourcing Solutions for Financial Institutions

Overview

At Acuity, we work with financial institutions globally to deliver customized compliance services. Using our managed services model, we combine expert-led solutions with latest technology to help clients implement robust compliance controls efficiently. Our team of compliance experts is tool-agnostic, with extensive experience working on multiple compliance systems and engines. This enables us to seamlessly adapt to any system the client uses, ensuring a smooth and efficient onboarding process.

Who we serve

Services We Offer

Investment/Portfolio Compliance

What We Provide:
New account coding/onboarding
Ongoing maintenance reviews
Regulatory rulebook maintenance
Pre- and post-trade monitoring
End-of-day monitoring
Manual guideline monitoring
Guideline error reporting
Periodic client certifications
OMS migration support
Rule rationalizations
Periodic account reviews
Adhoc Projects

Corporate Compliance

Marketing literature review/Distribution compliance review
Ecomm surveillance (emails, chats, instant messaging, terminal messaging, voice)
Code of ethics reviews (personal trading accounts, outside business interests, G&E and sponsorship, restricted trading lists, IPOs, conflict checks, wall-cross lists, registration and licensing)

Financial Crime Compliance

KYC onboarding, remediation, and periodic reviews
AML Audits
Customized risk reporting
Screening support
Transaction monitoring alert reviews (Levels 1/2)
Fraud monitoring alert reviews (Levels 1/2)
Implementation/transition of systems/applications
Training, ongoing learning, and development

Forensic Compliance

Risk assessments
Compliance investigations
Scoping and conceptualization
Methodologies and execution
Audit trail documentation
Gap analysis and policy testing
Surveillance and trend analysis

Trade Surveillance

Market abuse practices monitoring (e.g., front running, cross trades)
Wash trades detection
Spoofing & layering analysis
Best execution monitoring
Insider trading detection
Aggregate order allocation reviews
Shareholding disclosure reviews
Block short sales reviews
Assistance in system implementations and migrations

Numbers:

35+

clients

170+

compliance specialists

40-50%

savings

How we are different

Managed Services Model

Our approach ensures scalability, cost efficiency, and operational excellence by taking ownership of your compliance needs end-to-end.

Tool-Agnostic Team

Our compliance experts possess extensive experience working with a variety of compliance systems and engines, allowing them to seamlessly adapt to any system your organization uses from the outset.