Registration, Authorization, and Initial Filing Services

  1. GRC Compliance Advisory Services
  2. Registration, Authorization, and Initial Filing Services

The registration or application process can seem lengthy, overwhelming, and daunting. Whether you seek authorization for the first time or are an established regulated firm looking to move into a new line of business, we can help you avoid unnecessary complications and delays.

Our team will simplify the process by assisting with your initial application or filing, supporting the set-up and implementation of your compliance program, and providing ongoing support.

CONNECT WITH US


CONNECT WITH US


Our solutions

We offer SEC, FINRA, CFTC and NFA, and state registration as well as FCA authorization support services. Or if you are launching a new investment management firm, or extending an existing venture, we also offer regulatory hosting through ACA Mirabella.

SEC Registration Support

SEC requires certain investment advisers to register with the SEC and to establish and maintain an adequate compliance program. Our team will assist your firm with the initial Form ADV filing, annual Form ADV amendments, and the set up and maintenance of an adequate and effective compliance program.

FINRA Registration Support

Broker-dealers are required to register with the FINRA and establish an adequate compliance program. We'll assist with the initial broker-dealer application filing, CRD training, and preparation of compliance and supervisory procedures. In addition, our team can assist existing broker-dealers with a Change in Membership (CMA) application with FINRA.

NFA Registration Support

If you're seeking CFTC registration and National Futures Association (NFA) membership our team includes former NFA examiners who can guide you through the relevant steps in the registration process and assist with the development and implementation of your commodity interest-related compliance program.

FCA Authorization Support

Our dedicated team can help you seek authorization and apply for your Part 4A Permission.

With experience of supporting hundreds of firms through the process, providing support before, during, and after the application, we can help you avoid unnecessary complications and delays.  

SEC Registration Support for Firms Outside of the U.S

A London-based regional practice, providing RIAs and ERAs a unique offering of on-the-ground, comprehensive SEC compliance support. 

This specialist team has conducted more than 250 mock SEC examinations and compliance program reviews, and provided support to more than 100 financial services firms registered with a range of European regulators.

Brexit FCA Authorization

If you wish to submit a full FCA license or a third-country branch application, our Brexit team is on hand to help.

We will draft the FCA application package, prepare for meetings with the regulator where required, and respond to FCA due diligence requests. 

New Investment Firm Launches or Extension of Existing Ventures

For firms wishing to launch a new venture, we offer regulatory hosting through ACA Mirabella.

This multi-award winning platform is the the industry’s preferred institutional-quality solution for regulatory incubation because of the strong oversight and controls the team brings to each organisation’s project. Mirabella enables firms to get up and running quickly by operating under its regulatory agency

1 of

Who we've helped

With a client base of over 3,500 firms, we've successfully assisted thousands of firms through the registration and authorization process.

SEC Registrations for U.S. Firms

700+

SEC Registrations for Non-U.S. Based Firms

100+

FCA Authorizations

350+
hallway with light at end of tunnel

Why work with us?

Our team includes former SEC, FINRA, FCA, NFA, CFTC, OCC, and state regulators along with former along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions. We offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value. 

With ACA, you can feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to support you through every step of the process.

Latest insights

city streets at night from above

SEC Staff Bulletin – Standards of Conduct for Broker-Dealers and Investment Advisers Care Obligations

The SEC issued guidance on the Care Obligation of Reg BI, emphasizing understanding risks, obtaining investor information, considering alternatives, and exercising caution with complex products.

Article
  • SEC
  • Compliance
geometric background

Tip for Updating Your Compliance Program: Enhanced Proxy Voting Requirements

New SEC rules require standardized categorization, machine-readable filing, and sharing of mutual fund proxy votes and shares, with say-on-pay votes reported on Form N-PX by institutional investment managers worth $100 million or more only if they vote.

Article
  • Compliance
  • SEC
abstract interior

U.S. Regulatory Update – May 2023 Edition

This update includes insights on the third SEC Bulletin on Reg BI and Fiduciary Standard of Care, Ransomware Reminders, New N-PX Reporting, and the looming FTC Safeguards Rule.

Newsletter
  • Compliance
  • SEC
modern building from below

Should Broker-Dealers That Accept Hard Dollars for Research from EU Money Managers Register as Investment Advisers?

With the SEC's no-action letter temporary relief coming to an end, broker-dealers who accept hard dollar payments for research from EU/UK asset managers must carefully evaluate their registration options to comply with the Investment Advisers Act of 1940.

Article
  • Compliance
  • SEC
  • Broker-Dealer
abstract white building interior

Tips for Updating Your Compliance Program: SEC Exam Observations Risk Alert

The SEC is focusing on private funds and issued a risk alert in January 2022 outlining common deficiencies observed during private fund exams. Private fund managers should review their compliance programs to avoid these deficiencies.

Article
  • Compliance
digital person image

Managing the Risk of Large Language Models Like ChatGPT

Discover ways to leverage the power of LLMs like ChatGPT while protecting your organization from risks like privacy breaches, IP concerns, and quality control issues.

Article
  • Cybersecurity
  • Compliance
  • Artificial Intelligence (AI)
More Insights

News

ACA Mirabella Celebrates Ninth Consecutive Year of Success at With Intelligence HFM European Services Awards

We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.

ACA Announces Expansion of the Executive Leadership Team with Key Appointments

ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.

Highlights From the 2024 ACA Conference

As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.

More News

Upcoming events

Wealth Management EDGE

Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.

Conference

2024 FINRA Annual Conference

Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.

Conference
More Events