Broker-Dealer Chaperoning

ACA Foreside offers broker-dealer chaperoning services under SEC Rule 15a-6 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.

Our services include:

• Provide an authorized registered representative to chaperone visits to U.S. Institutional Investors “USIIs” and Major U.S. Institutional Inventors “MUSIIs,” as required
• Support personnel marketing funds to USIIs and MUSIIs
• Oversee the suitability assessment process concerning fund recommendations made to USIIs and MUSIIs
• Conduct due diligence on the funds to be marketed
• Review and approve all marketing material prepared for USIIs and MUSIIs
• Maintain all books and records required under SEC Rule 15a-6