Modern Compliance: Capturing Mobile and Social Media Communications
Join ACA and SnippetSentry as we explore global communication capture strategies to reduce compliance risks and enhance your compliance program.
Webcast
GRC Solutions for Mutual Funds, ETFs, and Other Investment Companies
Our Investment Company Practice supports registered investment companies, as well as their advisers and sub-advisers, board of directors, and service providers to help them build, enhance and add controls to their compliance programs to meet Investment Company Act of 1940 requirements and SEC and industry standards.
We offer objective, innovative, and effective compliance reviews and solutions to prepare registered investment companies, as well as their boards, sponsors, advisers, sub-advisers, and service providers, for the rigors of SEC examinations. We provide solutions to assist firms with managing and mitigating related operational, regulatory, and reputational risks.
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Who we work with
We provide solutions for the following types of firms.
Business Development Companies (BDCs)
We provide objective, innovative, and effective compliance reviews and solutions to assist business development companies, as well as their boards, sponsors, and service providers — with preparing for the rigors of an SEC examination.
Exchange Traded Funds (ETFs)
We provide objective, innovative, and effective compliance reviews and solutions to assist exchange-traded funds with preparing for the rigors of an SEC examination.
Registered Investment Companies
We offer diverse compliance review and fund management compliance services, all scalable to individual client needs.
Variable Insurance Products
We help insurance companies and distributors understand and manage these complex compliance requirements and develop and implement the comprehensive, effective risk-based protocols necessary to meet regulators’ expectations.
Solution Spotlight
Investment company compliance solutions
Our fund management compliance team includes former regulators along with former along with former chief compliance officers and senior compliance managers from prominent financial institutions. Our team helps you to navigate the evolving regulatory landscape while considering the complexity of your firm’s unique compliance requirements.
Compliance solutions can include:
- Adviser and fund policy and procedure customization and development
- Mock SEC reviews
- Rule 38a-1 compliance program reviews
- Enhanced annual adviser compliance program reviews that is specific to Company Act requirements for advisers/sub-advisers
- Customized focus reviews (e.g. liquidity risk management program, intermediary fees, cross trades, cybersecurity, valuation)
- Compliance and internal audit testing support
- Sub-adviser due diligence reviews
- SEC inspection support
- Mutual fund distributor reviews and financial intermediary oversight reviews (e.g. FINRA rule 3110, 3120)
- Independent Consulting Mandate
By the numbers
Our market share
80%
of the top 100 mutual funds (as noted in the Mutual Fund Directory March 2020 ranking data)
Latest compliance insights
U.S. Regulatory Update – September 2023
Summer is over, and the SEC has a heavy rulemaking agenda for this fall, so hold on to your seats!
Article
- SEC
- Compliance
- Broker-Dealer
- Investment Adviser
Advisory Firm Settles Cherry Picking Fraud Charges With the SEC
This case should give pause to firms of all sizes to evaluate what they are doing to proactively detect potential market abuse on their own.
Compliance Alert
- RegTech
- ComplianceAlpha
- SEC
- Compliance
SEC Private Fund Adviser Rules: What Made the Cut
The SEC recently voted to adopt new rules and amendments, known as the Private Fund Adviser Rule. Here's a summary of the new rules and how they changed from the original proposals.
Compliance Alert
- Compliance
- Performance
- Private Fund
The New TPF Regime: Treating Politicians Fairly?
The FCA has asked politically exposed persons to share their experiences with regulated firms as part of the regulator's review of firms’ treatment of PEPs.
Compliance Alert
- Compliance
- AML and Financial Crime
The SEC Adopts Private Fund Adviser Rules – What Firms Should Know
The SEC’s recent vote to adopt the Private Fund Adviser Rule (IA-5955) presents some of the most significant private funds regulatory reform since the Dodd Frank Act. Read our summary of the Final Rules and our guidance for firms.
Compliance Alert
- Compliance
- SEC
- Private Fund
White Paper: Unveiling Industry Perspectives on the SEC’s Proposed Cyber Rule 206(4)-9
The public has weighed in on the SEC's proposed Rule 206(4)-9, which sets cybersecurity risk management expectations for investment firms. In this guide, we discuss the industry's reaction, exploring the main areas of concern for the Rule.
Report
- Cybersecurity
- Compliance
- SEC
News
ACA Group Acquires Financial Compliance Firm, FINOP Consulting
Acquisition strengthens ACA’s outsourced financial operations offering for broker-dealers.
ACA Group Recognized on ESGFinTech100 Among Top Industry Innovators
We are thrilled to announce that ACA Group has earned a spot on the prestigious 2024 ESGFinTech100 list, joining the ranks of the world's most innovative ESG technology providers.
Financial Services Firms Lag in AI Governance and Compliance Readiness, Survey Reveals
The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.
Upcoming events
The Most Wonderful Time of The Year: Tailoring Your Annual Compliance Review
Join our experienced ACA Wealth experts who will discuss an investment adviser’s obligations for the annual compliance review required under Rule 206(4)-7.
Webcast