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

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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On Demand Webcast

Digital Asset Securities for Broker-Dealers

Watch our on demand webcast about the regulatory and legal developments surrounding digital asset securities and what broker-dealers should consider if they are thinking about investing in digital assets.

During this webcast, we'll discuss:

  • Advances in the use of distributed ledger or blockchain technology for payment and trading of digital asset securities
  • Regulatory and legal developments around digital asset securities
  • Predictions for the future of digital asset securities in the broker-dealer arena
  • Considerations for digital asset investment advisors