Compliance Services

ACA Compliance Group is the premier provider of compliance products and solutions across to financial services firms. Our team includes former SEC, FINRA, FCA, FSA, NFA, and state inspectors along with former senior compliance managers from prominent financial institutions.

WHO WE WORK WITH

 

Our clients know that a tailored, well-functioning compliance program is a key success factor in today’s increasingly challenging business and regulatory environments. We respond to their needs by developing and maintaining high-quality compliance programs that are customized to each firm’s particular business demands and operational realities.

Our clients include:

  • Investment advisers
  • Private funds
  • Family offices
  • Private equity firms
  • Investment companies
  • Mutual funds
  • Business development companies
  • Variable insurance companies
  • Municipal advisors
  • Digital advisers
  • Exempt reporting advisers
  • Commodity Pool Operators
  • Broker-dealers
  • Global advisers

COMPLIANCE SUPPORT SOLUTIONS

 

ACA offers several tools and customized solutions to provide continuous support for your compliance program. We offer:

Secondment, Staffing Assistance, and CCO Support

ACA provides skilled resources on a short- to long-term basis to assist firms during times of need, such as personnel transitions or extended absences. We also can assist firms on a routine basis in order to provide fresh perspectives and insight on a firm’s compliance program.

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Electronic Communications Reviews

ACA conducts thorough reviews of electronic communications to help firms meet their regulatory obligations in this area.

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Secondment and Compliance Staffing Solutions

ACA provides staffing assistance to clients who may be short-staffed, have additional project work, and/or need coverage for employees on extended leave.

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Expert Network Consultation Chaperoning

ACA can assist compliance and legal teams by chaperoning expert network consultations.

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Regulatory Filings

ACA Compliance Group offers regulatory filings review services to investment advisers. Our filings team helps managers determine and meet their regulatory filing obligations under Section 13 and Section 16 including Schedule 13G, Form 13H, Form 13F, and Forms 3, 4, and 5.

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Marketing and Advertising Reviews

ACA’s marketing and advertising review assistance allows your firm to significantly reduce the amount of time and resources devoted to the marketing and advertising review process.

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REQUEST MORE INFORMATION

 

To request more information on ACA’s compliance services, complete our contact form or call Damon Zappacosta at (212) 951-1030.