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.

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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 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

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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+
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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

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OCIE Issues Risk Alert Highlighting Observations from Examinations of Investment Advisers with Multiple Branch Offices’ Compliance and Supervisory Practices

The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on November 9, 2020 that focused on SEC-registered investment advisers operating from numerous branch offices and with operations geographically dispersed from the adviser’s principal or main office.

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FCA Confirms Details of the UK’s Post-Brexit Short-Selling Regime

The FCA recently published details for reporting net short positions in relevant UK shares and sovereign debt from 1 January 2021. We examine how the on-shored regime for short selling will operate in the UK firms once the Brexit transition period ends.

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SEC Amends the Accredited Investor Definition

The SEC approved amendments to the “accredited investor” definition, which become effective on December 8, 2020. They aim to modernize the definition to more effectively identify institutional and individual investors that have the knowledge and expertise to participate in those markets.

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Trade and Transaction Reporting: Perfect Storm or Opportunity Knocking?

As geopolitical change and uncertainty, regulatory sabre-rattling and industry shake-ups combine to create a perfect storm, we examine the impact for financial services firms on their trade and transaction reporting obligations under MiFIR, EMIR and SFTR.

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RiskMutation™ Strategic Roadmap: Outsourcing

Outsourcing risk and compliance activities can help firms navigate the future of risk and compliance in the age of RiskMutation™ through better results, increased agility, and scale for less. Get our outsourcing strategic roadmap here.

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White Paper: 2020 Liquidity Risk Management Program Rule Survey Results

To continue providing the fund industry with transparency and insight into how peers are approaching compliance with the liquidity program rule, we are pleased to present the results of our third annual Liquidity Risk Management Program Rule survey.

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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.

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Upcoming events

Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

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