ACA ComplianceAlpha is our compliance management platform. You will receive an email invite to activate your ACA account on your first day at Savvy. Please note that all compliance certification trainings need to be completed within 10 days after your start date.
You are required to submit all your trading accounts, as well as any other accounts you have discretion over (eg. your partner or children’s accounts) for compliance purposes. If you have any outside business activities (ex. insurance business, rental properties, etc.), you must also disclose them before we can file your U4. Please review the relevant instructions on how to submit these details in the sections below.
Individual articles about most Employee Compliance features are accessible throughout this Help Center, however, the ACA Customer Experience team also has recorded the following videos intended to guide administrative or “Privileged Users” through the module’s essential functions.