GRC Solutions for Digital Asset Managers

The growth of the digital asset space in recent years has naturally led to the advent of “cryptocurrency hedge funds” and other investment management firms that make digital asset investments on behalf of their clients. As a result, digital assets including cryptocurrencies, initial coin offerings, and other blockchain focused assets continue to be a focus area for the U.S. Securities and Exchange Commission (SEC) and other regulators. 

Our solutions are specifically designed to help firms align their advisory processes with regulatory requirements and the expectations of the SEC and the U.S. Commodity Futures Trading Commission (CFTC).

Bitcoin and other cryptocurrencies have brought new thinking to payments and financial inclusion, but they’ve also raised new issues of investor protection. If confirmed at the SEC, I will work to promote innovation.

Gary Gensler, SEC Chairman Nominee

Our solutions

We provide customized compliance solutions for advisers dedicated to managing digital assets, including cryptocurrencies, initial coin offerings, and other blockchain focused assets.

Regulatory Registration and Compliance Program Development

ACA assists with:

  • Preparing and filing Form ADV
  • CFTC registration and NFA membership
  • Developing customized compliance policies and procedures
  • Developing compliance infrastructure
  • Implementing customized compliance programs
Registration Filings Support

We provide:

  • Form ADV reviews
  • IARD filings with appropriate state and federal regulators
  • Private Fund Reporting Depository administration services
  • Form PF reasonableness review
  • NFA Online Registration System ("ORS") assistance
Additional Offerings
  • Policy and procedure development
  • SEC inspection support services
  • Marketing and advertising reviews
  • Secondment and compliance staffing solutions, from single day to long-term secondments
  • On- and off-site assistance with periodic and ongoing compliance tasks and activities
  • Focused performance reviews
  • Regulatory Reporting Platform
  • Cybersecurity and technology risk assessments
  • Trade surveillance
  • Education and training
     

Build a scalable and resilient compliance program with our regulatory technology software platform backed by managed services support.

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

Build cyber and operational resilience across your firm with our team of cybersecurity and technology risk experts.

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Upcoming events

Compliance Induction - 18 January 2022

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.

Online Training

Annual Compliance Training - 26 January 2022

The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.

Online Training

Client Money - 27 January 2022

Financial services providers that hold or control client money or assets must follow specific rules outlined in the Financial Conduct Authority’s (FCA) Clients Assets Sourcebook (CASS). This course is specifically designed to assist teams in dealing with client money audits and the client assets report, as well as helping them stay up to date with statutory and regulatory obligations in this complicated area.

Online Training