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
Tips for Updating Your Compliance Program: Identity Theft Red Flag Rule
Regulation S-ID, the “Identity Theft Red Flag Rule,” requires financial institutions to implement and administer a written program designed to detect, prevent, and mitigate identity theft for customers with “covered accounts.”
Article
- Compliance
U.S. Regulatory Update – March 2023 Edition
This month's update has tips for creating a strong ADV annual amendment, adhering to the SEC's 2023 exam priorities, and more. We share our unique insights and guidance, and include a list of important dates for the month of March.
Newsletter
- Compliance
- SEC
Feeling Your Pain: Advice for Updating Form ADV
With the deadline for many investment advisers to file their annual Form ADV coming March 31st, we tackle some of the most challenging questions and share guidance for easing the process.
Article
- SEC
- Compliance
Tip for Updating Your Compliance Program: Marketing Rule Compliance
The SEC has stated that future examinations will include a focus on compliance with the new Marketing Rule. We share our guidance for preparing and updating your firm's compliance program.
Article
- Compliance
Silicon Valley Bank, Signature Bank, and Silvergate Bank: Responding to Market Disruption with a Stronger Compliance Program
Six key areas your firm should focus on now: the decisions that compliance professionals make this week after recent bank collapses will have important implications for their firms, the clients that they serve, and the capital markets generally.
Compliance Alert
- Compliance
The SEC Proposes Big Changes to the Custody Rule
Responding to changes in "technology, advisory services, and custodial practices," the SEC’s proposal expands the current rule’s coverage to all client assets where the adviser has custody.
Compliance Alert
- 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