Compliance Services and Solutions for Hedge Fund Managers

ACA’s team can support you with industry challenges unique to hedge funds and your everyday needs by providing advisory consulting, managed services, technology solutions, and education and training. Our employees include former SEC, FINRA, CFTC, FCA, OCC, and state regulators along with former Chief Compliance Officers and senior compliance managers from prominent hedge funds and other financial institutions. Feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to support you through every step of the process.

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Who We Help

We work with hedge fund managers to provide innovative governance, risk, and compliance advisory services and technology solutions that enhance their operational and business processes. Since inception, we’ve worked with over 1,000 hedge fund managers.

85%

Today our clients include 85% of the top 100 hedge fund managers (Hedge Fund Alert, May 2020) with a diverse set of investment strategies and business operations.

How We Help

ACA has expertise in supporting hedge funds in the Compliance, Cybersecurity, Performance, Technology and Financial Crimes space and can help with challenges and every day needs by providing clients with advisory consulting, managed services, technology solutions, and education and training.

Compliance, Risk, and Advisory Consulting

Make decisions with confidence

Our compliance, risk, and advisory consulting supportings firms to review and develop compliance and risk programs based on best practices and regulatory expectations.

Our services include but are not limited to:

Focused and enterprise level risk assessments
Mock regulatory or compliance program reviews
Forensic testing
Policy and procedure development and enhancement
Secondments, co-sourcing, and other staff augmentation
GIPS^® compliance services
Retainer-based consulting
Registration services

Learn more about our Mock SEC Exams

Managed Services

Get more done while easing the burden of day to day tasks

Our managed services can support you with your ongoing compliance responsibilities, including compliance testing, compliance program reviews, and other operational tasks.

Managed services include but are not limited to:

Marketing and advertising reviews
Scalable compliance testing and remediation projects
Vendor and third-party risk reviews
Virtual CISO
Electronic communications reviews
Expert network consultation chaperoning
Code of ethics administration support
Online presence/social media reviews
Regulatory filings (13F, 13H, 13G, Form PF, CPO-PQR, Annex IV)
Full service support for regulatory technology products

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Regulatory Technology Solutions

Increase efficiency, streamline processes, and automate manual tasks

Our regulatory technology solutions are designed to help your firm streamline processes, simplify day to day tasks, and ensure easy and comprehensive tracking of all activity across your firm.

ComplianceAlpha^® risk and compliance management platform. Includes functionality for:
Regulatory reporting (Form PF, Form 13F)

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Education and Training

Stay informed and ahead of the curve

We offer several engaging, dynamic educational opportunities to help you and your staff stay informed on regulatory initiatives, GIPS® standards, cybersecurity and industry topics.

Educational offerings include but are not limited to:

Tailored onsite or offsite training solutions
Cybersecurity and privacy online and in-person training
Phishing testing and staff security training
Compliance training
GIPS^® standards education and training
Insider trading online training
Webcasts, conferences, and roundtables

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SPOTLIGHT

ACA's Trade Surveillance Solutions

Regulators globally are using cutting-edge technologies to identify potential insider trading, market abuse, and other misconduct, resulting in record-breaking fines and enforcement. ACA’s trade surveillance solutions are designed to help your firm effectively, diligently, and proactively manage its firm-wide and employee trading risk in a way that meets regulatory expectations and industry best practices.