Regulatory Filings Review Services

Regulatory Reporting Solution

Contact Us

Investment advisers and broker-dealers must meet various regulatory filings requirements or else face potential monetary penalties and reputational damage. However, the regulatory filings process can be time-consuming and error-prone when done manually in-house.

How We Help

 

ACA’s Regulatory Reporting Solution combines technology with managed services to provide investment advisers and broker-dealers with a cost-effective, full-service offering designed to help streamline complex reporting requirements, improve data accuracy, and reduce the operational costs related to regulatory filings.

Our experienced team of regulatory filings specialists can help your firm draft, review, and file applicable filings on your firm’s behalf. We use ACA’s proprietary regulatory reporting platform for most filings to reduce risk and increase operational efficiencies through:

  • Automated, repeatable workflows for generating filings
  • Data validation at multiple stages
  • "Filing-over-filing” reports to help identify inconsistencies or questions
  • Internal notes to document assumptions
  • Access to the source data used in filings
blue gradient top to bottom

Filings We Support
 

RegulatorFilings
SEC
  • Form ADV
  • Form 13F, 13H
  • Schedule 13G
  • Form PF
ESMA
  • AIFMD Annex IV
CFTC/NFA
  • CPO-PQR
FINRA
  • Form U4, U5
  • Form BD
  • Form BR