Strong compliance programs demand appropriate resources and continued support. ACA's compliance support solutions provide CCOs with valuable support to help ensure proper implementation of their firms’ compliance procedures.
COMPLIANCE SUPPORT SOLUTIONS
ACA’s staff has the regulatory and practical compliance experience to assist firms with their ongoing compliance responsibilities, including compliance testing, compliance program reviews, and other compliance-related and operational tasks. Our testing helps firms address immediate needs such as those related to new regulatory developments and business changes.
Electronic Communications Reviews
ACA specializes in conducting thorough reviews of electronic communications to help firms meet their regulatory expectations in this area.
ACA 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.
ACA's vendor diligence and management services are designed to help companies of all sizes allocate limited resources while reducing the burden, risks, and costs associated with the management of the vendor lifecycle.
ACA provides skilled resources on a 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.