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Building Resilient Compliance Programs for Registered Investment Companies
Launch, grow, and protect your investment strategies and business.
We can help build a resilient compliance program for registered funds and related advisers that meet your regulatory obligations.
With over 20 years of experience, we provide the expertise and tools to help registered funds,and their advisers, boards, and service providers execute regulatory requirements and maintain compliance programs that withstand regulatory scrutiny.
Our expert team provides tailored solutions for exchange-traded funds (ETFs), interval and tender offer funds, mutual funds, and other investment companies, supporting you at every stage—from pre-registration to maturity.
Over 6,300
clients choose us to support their 1940 Act obligations, along with other SEC and FINRA regulatory requirements.
86%
of the Top 100 Mutual Funds, according to the 2024 Mutual Fund Directory ranking data, are supported by ACA.
Largest
third-party distributor of registered products by number of funds, and the leading provider of outsourced fund officer solutions.
Why ACA?
Clients choose us to support their Investment Company Act of 1940 among other SEC and FINRA regulatory requirements
Score for client satisfaction for our expertise, responsiveness, recommendations, and ability
Something here about fund launches or number of trusts we work with?
Who we serve
We offer an expansive range of support that is scalable to meet your individual needs.
ETFs and Mutual Funds
From SEC registration to market launch and regulatory obligations, we provide end-to-end support for your products.
Business Development Companies (BDCs)
Objective, innovative, and effective compliance reviews and solutions, including outsourced CCO programs to assist BDCs, their boards, and sponsors.
Interval and Tender Offer Funds
Understand and manage complex compliance requirements and develop effective risk-based protocols to meet regulatory expectations.
What do you need help with?
Expert guidance from development through ongoing management, minimizing risks and maximizing success.
Outsourcing fund officer roles such as Treasurer, Fund CCO and Secretary to ACA gives you direct access to industry experts at a fraction of the cost of hiring and retaining similar talent.
Comprehensive support to simplify compliance, assess strategic initiatives, and meet all regulatory requirements.
Strengthen your year-round regulatory obligations and tasks while creating a scalable and resilient compliance program.
Facilitate compliant distribution with ACA Foreside’s suite of solutions.
Establish and maintain cyber and operational resilience across your firm.
Perform independent money laundering reviews for funds and transfer agents, AML compliance programs, and more.
Benefit from a wide range of experienced and independent officers to maintain fund governance including Fund CCOs, Treasurer/PFO, AMLCOs, President/PEO, and Secretary.
Stay in compliance with the GIPS® standards and investment performance rules with the world’s largest team of GIPS standards verifiers
Construct, analyze, and assess ESG goals and compliance to maintain a best-in-class portfolio for all your stakeholders
Leverage the regulatory framework needed to build, launch, and distribute ETFs, mutual funds, interval funds, and private placements
Build a scalable and resilient compliance program with our ComplianceAlpha® regulatory technology platform backed by managed services support.
Eliminate repetitive tasks by streamlining your regulatory filing obligations, and complicated reviews required for communications and fund marketing
What do you need help with?
- Compliance advisoryStrengthen your year-round regulatory obligations and tasks while creating a scalable and resilient compliance program
- Cybersecurity, Privacy & RiskEstablish and maintain cyber and operational resilience across your firm
- Anti-Money Laundering (AML) & Financial CrimesPerform independent money laundering reviews for funds and transfer agents, AML compliance programs, and more Learn More
- Compliance advisoryStrengthen your year-round regulatory obligations and tasks while creating a scalable and resilient compliance program
- Cybersecurity, Privacy & RiskEstablish and maintain cyber and operational resilience across your firm
- Anti-Money Laundering (AML) & Financial CrimesPerform independent money laundering reviews for funds and transfer agents, AML compliance programs, and more Learn More
- Fund Officer ServicesBenefit from a wide range of experienced and independent officers to maintain fund governance including Fund CCOs, Treasurer/PFO, AMLCOs, President/PEO, and Secretary
- Performance ServicesStay in compliance with the GIPS® standards and investment performance rules with the world’s largest team of GIPS standards verifiers
- ESG Data & StrategyConstruct, analyze, and assess ESG goals and compliance to maintain a best-in-class portfolio for all your stakeholders
- Outsourced Broker-Dealer SupportLeverage the regulatory framework needed to build, launch, and distribute ETFs, mutual funds, interval funds, and private placements
- Regulatory TechnologyBuild a scalable and resilient compliance program with our ComplianceAlpha® regulatory technology platform backed by managed services support.
- Managed ServicesEliminate repetitive tasks by streamlining your regulatory filing obligations, and complicated reviews required for communications and fund marketing
Client Perspectives
We’re certain we can be your ideal partner. But our clients say it best.
ACA has been providing Fund Officer services to The China Fund for over 17 years. These services now include Treasurer, Chief Compliance Officer and Corporate Secretary. I have found ACA’s professionals to be extremely knowledgeable in their respective roles and they have provided our Fund, and the committees which I chair, with outstanding service over these many years.
Rich Silver, Director and Chair of the Audit, Compliance and Valuation Committee, The China Fund, Inc.
Client perspectives
We’re certain we can be your ideal partner. But our clients say it best.
We have partnered with ACA to support and strengthen our compliance program since we began operations. ACA’s industry expertise and personal client service, especially from our Fund CCO, Jim Nash, has been unrivaled, and their proactive approach has kept us ahead of the evolving and complex regulatory landscape. I strongly recommend ACA to other investment firms seeking a trusted partner to enhance their compliance framework and navigate change with confidence.
-Kenneth Thomas, Ph.D., President, CEO and Secretary of Community Development Fund
ACA has been providing Fund Officer services to The China Fund for over 17 years. These services now include Treasurer, Chief Compliance Officer and Corporate Secretary. I have found ACA’s professionals to be extremely knowledgeable in their respective roles and they have provided our Fund, and the committees which I chair, with outstanding service over these many years.
– Rich Silver, Director and Chair of the Audit, Compliance and Valuation Committee, The China Fund, Inc.
Why ACA?
Experience the ACA advantage in governance, risk, and compliance.
Client first
Unwavering dedication to our customer’s success, with proactive and effective support you can rely on.
Compliance is at our core
Leading with compliance to protect your business and the regulatory complexities that come with it.
Extensive experience
Decades of industry experience and a vast network to connect you with key players.
Contact us
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