SERVICES & COMPLIANCE PLATFORM

AAC provides a structured compliance framework designed to support regulatory obligations associated with securities transactions.
‍
Activities conducted through AAC are subject to supervisory review under our written supervisory procedures.

Our platform includes

Regulatory Supervision and Compliance oversight

Access to a Chief Compliance Officer and compliance team

AML / KYC program administration

Marketing materials and pitchbook approval

Regulatory examination and audit support

Email archiving and communications supervision

Regulatory reporting and filings

Transaction oversight and engagement letter review

Our structure allows affiliated professionals to focus on originating and executing transactions while operating within a compliant regulatory framework.

LICENSING REGISTRATION SUPPORT

Affiliation with AAC requires appropriate securities licensing and registration. AAC assists in coordinating regulatory filings, licensing applications, and exam scheduling where required.

AML / KYC OVERSIGHT

AAC maintains an Anti-Money Laundering program that includes:

  • Customer identification procedures
  • OFAC screening against U.S. Treasury sanctions lists
  • OFAC screening against U.S. Treasury sanctions lists
  • Suspicious activity monitoring
  • Independent program testing

MARKETING & COMMUNICATION REVIEW

Communications with the public, including pitchbooks and offering materials, are subject to principal review prior to use in accordance with FINRA Rule 2210.