ACA Foreside

Registered Product Compliance Consulting and Distribution

Services
ACA Foreside

Since our launch in 2005, we have been working with asset management firms throughout the world to facilitate compliance and product distribution through legal underwriting, registered rep licensing and chaperoning, and DTCC/NSCC fund sponsorship. We have experience working with all types of pooled investment vehicles such as traditional mutual funds, ETFs, alternative products, closed-end interval funds, and private placements.

ACA Foreside has helped over 400 firms and 1,600 funds to launch new funds or convert existing funds.

Are you looking to launch a 40-act vehicle?
Do you need assistance registering your reps for private funds or 40-Act products?
Are you a private fund and would like to launch a hybrid vehicle such as an interval fund?
Do you have wholesalers and need support with your FINRA licenses such as email review, marketing material review and supervision?
Are you just exploring what it would cost to create a mutual fund, ETF or interval fund and what the ongoing and breakeven costs are?

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Our Distribution Solutions

Broker-Dealer Chaperoning

We offer broker-dealer chaperoning services to non-U.S. asset managers and broker-dealers that seek to market private funds in the United States without registering as a U.S. broker-dealer.

DTCC/NSCC Fund Sponsorship

ACA Foreside can sponsor (apply for, obtain, and maintain) an NSCC membership participant number for domestic funds, collective trusts, and foreign funds. Additionally, ACA Foreside's fund services can provide guidance to clients and their transfer agents with respect to administration, implementation, and maintenance of funds’ operational policies and procedures.

ETF Solutions

Our experienced professionals stand ready to advise you regarding the regulatory, financial, operational and distribution requirements of your exchange-traded funds (ETFs). We closely follow the expanding U.S. and international ETF marketplaces and the rapid product innovation in the market today.

Fact Sheet Design and Production Services

ACA Foreside is well-versed in the design, creation, and production of fund fact sheets and fund marketing materials. ACA Foreside's fund services offer custom fact sheet solutions aimed to deliver creative, informative, and compliant fund marketing materials, while decreasing errors with the use of data integration technology.

Fund Officer Services

Our Fund Officer model provides a hands-on, tailored approach by placing experienced and independent Fund Officers close to the Fund’s Board of Trustees. They are exposed to multiple administrators, counsel, and advisors, and have valuable industry perspective allowing for a better understanding of best practices.

Legal Underwriting and Placement Agent Services

We distribute over $1 trillion of product for over 200 fund families through our broker-dealers and serve as the legal underwriter for registered funds (mutual funds, closed-end funds, and ETFs) and placement agent for private funds.

Managed Services

Maximize your firm’s time and efficiency with our technology-powered managed fund and product compliance consulting services.

Private Label Broker-Dealer Offering

We can maintain a private-label broker-dealer on behalf of your firm, allowing you to focus on your core business. Our private label broker-dealer offering provides an opportunity for firms to have ACA Foreside own and manage a broker-dealer branded by you and dedicated solely to you as the client.

Registered Representative Licensing

ACA Foreside's fund services can assist with all aspects of your FINRA licensing needs for both registered and private funds.

Why work with ACA Foreside?

ACA Foreside's product compliance consulting can support products in either a standalone fund model or a Series Trust and will work with your firm to establish NSCC connectivity and dealer agreements, review Marketing Materials for registered reps, provide fund officers, design and produce factsheets, and provide a 38a-1 compliance program, as well as consult with you to design an effective distribution strategy for your product.