ACA’s popular compliance solutions for private funds

Compliance Services
C3 Select
Private Fund Inspections

Registration Solutions
Registration Accelerator™
Singular Registration Solution

Hedge Funds

Practice Highlights

  • ACA has worked with 25% of the largest private fund managers.
  • ACA has extensive practice developing compliance policies and procedures for private fund managers.
  • ACA has registered numerous private fund managers as investment advisers with the SEC and/or state regulator agencies.
  • ACA is an active member and supporter of Hedge Fund Cares.
  • ACA consultants regularly speak at private fund conferences.
  • ACA has conducted annual compliance reviews for some of the largest hedge fund managers in the US.

PRIVATE FUND SERVICES

To assist private fund managers as they strive to comply with federal securities laws,  ACA’s Private Fund Services Division grants advisers peace of mind by conducting thorough mock SEC inspections and compliance program reviews. Our inspections and reviews analyze potential risk areas such as adherence to investment objectives described in offering documents, valuation of assets, review of marketing materials, solicitation activities, investor correspondence, and compliance with registration exemptions under the Securities Act of 1933 (including Regulation D), the Investment Advisers Act of 1940, and the Investment Company Act of 1940.

ACA assures compliance for hedge fund managers and private equity firms by providing:

Regulatory Risk Reviews

  • Mock SEC Exams
  • Forensic Testing of Compliance Processes
  • Specialized Compliance Reviews

Additional Consulting Services

  • Policy and Procedure Development
  • On-Site SEC Inspection Support
  • On-going Review of Employee and Proprietary Trading
  • Regulatory Body-Mandated Independent Compliance
    Consulting Services
  • Compliance Training
  • Advertising and Sales Literature Review

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 private fund managers 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.