In addition to managing SEC registrations (both full and Exempt Reporting Adviser), each year ACA conducts hundreds of mock SEC examinations, policy and procedure gap analyses, and Rule 206(4)-7 compliance reviews, a number of which take place in Europe.
ACA can also assist firms with:
- Establishing their SEC-mandated compliance programme
- Drafting policies and procedures
- Managing regulatory reporting
- Conducting compliance monitoring
- Assistance with preparing for an SEC examination
- Conducting compliance training
- Assistance with regulatory filings
- Review of marketing and sales literature
SEC registration and the ensuing compliance requirements are uncharted territory for many non-US domiciled managers. Our expertise can help you successfully navigate that territory.