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.

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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 registration 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.

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.  

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.

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. 

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

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Who we've helped

With a client base of over 3,500 firms, our filing compliance solution services have 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+
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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

ACA

New Public Disclosure Obligations Under the IFPR: What, When and How?

On 26 November 2021, the FCA published its third and final Policy Statement, PS21/17, on the new Investment Firm Prudential Regime (IFPR), which subsequently came into force on 1 January 2022. The new prudential rules introduce more complex and onerous disclosure requirements for affected firms. Here we examine what these new obligations mean for MIFIDPRU firms.

Compliance Alert
  • Compliance
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SEC No-Action Letter Regarding Amended Rule 15c2-11

The SEC staff provided additional time for firms to comply with the amendments to Rule 15c2-11 in a no-action letter published in December, 2021.

Compliance Alert
  • Compliance
curved glass building looking up at a blue sky

FCA Confirms Changes to MiFID II Rules on Research Plus an End to RTS 28 Reports on Best Execution

The FCA published Policy Statement PS 21/20 on Changes to UK MiFID’s conduct and organisational requirements on 30 November 2021, confirming the FCA’s proposals as set out in Consultation Paper CP 21/9.

Compliance Alert
  • Compliance
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Q1 2022 Regulatory Reporting Deadlines

Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from January through March 2022.

Article
  • Compliance
  • RegTech
  • Regulatory Deadlines
Roads

ACA's Top 10 Articles of 2021

As we reflect on the past year, we wanted to take a moment to look back at our most popular articles from 2021.

Article
  • Compliance
  • Performance
  • Cybersecurity
  • AML and Financial Crime
  • Trade Surveillance
Highways

ACA's Top 10 Webcasts of 2021

As 2021 winds down and we prepare for the new year, we thought we would take a moment to look back at our most popular webcast topics of 2021.

Article
  • Compliance
  • Performance
  • ESG
  • Cybersecurity
  • RegTech

News

ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year

ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year

ACA Group Revolutionizes ESG Data Management with Enhanced ACA Vantage for ESG Platform

ACA Group introduces advanced features to its ACA Vantage for ESG platform, leveraging AI to help clients verify ESG data and streamline data management processes. This innovative solution empowers organizations to efficiently manage ESG requirements with greater accuracy and ease.

ACA Group Recognized at Pittsburgh Technology Council’s Tech 50 

ACA Group Recognized at Pittsburgh Technology Council’s Tech 50

Upcoming events

2025 ACA Conference

Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.

Conference