Practice Highlights

  • ACA conducts more than 100 mock SEC audits and annual compliance program reviews annually.
  • ACA has successfully coordinated and participated in dozens of SEC inspections for advisory clients.
  • ACA consultants are frequently invited by leading brokerage firms and custodians to speak on compliance matters for their investment adviser clients.
  • ACA has registered several hundred clients as investment advisers with the SEC and/or state regulatory agencies.
  • ACA consultants are regularly quoted in major compliance publications.

INVESTMENT ADVISER SERVICES

ACA’s Investment Adviser Services Division provides advisers assurance through experience. ACA offers outsourcing and consulting services that help SEC or state-registered investment advisers streamline business and operational processes, comply with regulations, and improve overall quality of compliance.

ACA assures compliance for investment advisers by providing:

Regulatory Risk Reviews

  • Compliance Program Reviews
  • Mock SEC Exams
  • Anti-Money Laundering Reviews
  • Forensic Testing of Compliance Processes
  • Performance Reviews
  • Mock State Exams
  • Best Execution Reviews & Analyses
  • Specialized Compliance Reviews

Additional Consulting Services

  • Policy and Procedure Development
  • SEC Inspection Support
  • Compliance Training
  • Expert Witness Work
  • On-going Review of Employee and Proprietary Trading
  • Regulatory-Mandated Consulting
  • Compliance Training
  • Advertising and Sales Literature Review
  • Filing of 13F & 13G

Registration Services

  • SEC Registration
  • State Registration
  • Registrations of Reps
  • IARD Administration

ACA offers several compliance solutions, and each solution provides a high level of service to advisers with varying compliance needs. We welcome the opportunity to speak with you. If you are interested in a customized proposal, please contact (973) 631-1085 or email us at info@acacompliancegroup.com.