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Compliance Services and Solutions for Hedge Fund Managers

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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 Services

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

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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Technology Services

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.

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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.

How We Help

We offer a range of trade surveillance solutions designed to meet your firm’s business needs, including:

  • Market Abuse Surveillance Solution
  • Employee Personal Trading and Code of Ethics Compliance Solution
  • Enhanced Trade Blotter Review Service
  • Holistic Surveillance Solution

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White Paper

To learn more about holistic surveillance and how to implement an effective holistic surveillance program at your firm, download our white paper.

Best Practices for Implementing a Holistic Surveillance Program

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