Municipal Advisor Services

Dodd-Frank imposes registration and other obligations, including fiduciary duties, upon municipal advisors who engage in certain activities with respect to "municipal entities." ACA brings expertise to help municipal advisors comply with the new regulatory requirements and mitigate risk.

ACA’s municipal advisor consulting services include:

• SEC registration, including development and filing of Form MA and MA-I;
• Development of customized supervisory policies and procedures;
• Annual compliance program and supervisory system reviews;
• Ongoing reviews of policies, procedures, agreements, and compliance documents;
• SEC inspection support, including on-site assistance during an actual SEC inspection; and
• Compliance education and employee training.

For more information on ACA’s municipal advisor consulting services, please contact Luke Wilson at (312) 505-0307 or lwilson@acacompliancegroup.com.