How to Successfully Cover a Broker-Dealer

Getting to know the mindset of the intermediary is critical for asset managers to ensure their firm is approaching and covering them correctly. It is important to understand the driving force in the decision-making process and pinpoint key contacts at the home office, and the interaction between each. This can provide an understanding of where you can move the needle before deciding which broker-dealers to work with.

This guide walks asset managers through the process of selecting and working with broker-dealers.

Download our guide to learn:

• How to choose which broker-dealers to work with
• How your firm can help a broker-dealer move the needle
• How to develop a consistent approach of coverage for each broker-dealer

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How we help

ACA Group enables asset managers to transform their firm or product launch vision into a reality. Our organization is the leading governance, risk, and compliance (GRC) advisor in financial services. For over 20 years, we’ve empowered our clients to launch, grow, and protect their business.

With our unique blend of advisory, managed services, and technology, we can help you launch quickly and easily and ensure you meet regulatory requirements and expectations. We work with asset management firms throughout the world to facilitate compliance and product distribution through legal underwriting, registered representative licensing, and DTCC/NSCC fund sponsorship.

Once off the ground, we can further support you with our broad range of advisory, managed services, and regulatory technology solutions. These are designed to help you grow and protect your business while addressing your compliance, ESG, investment performance, and cybersecurity challenges.

We’re here to help you build a strong GRC program, ease market entry, attract confident investors, and ensure your venture’s long-term success.

Contact us today to get started!