SEC Registration
and Support

 

ACA Compliance Group is recognised as the world’s leading SEC compliance advisory firm. Over a third of our consulting team members are former US federal and state regulators. ACA Compliance (Europe) is one of the only London-based regulatory compliance firm with former SEC, FCA and FSA examiners on its local staff.

OUR TEAM

 

In response to the changes in the SEC’s registration requirements resulting from the US Dodd-Frank legislation and the attendant consequences for European-based asset managers, ACA relocated experienced consultants to London to lead our London-based US regulatory practice. Our London-based team is fully supported by ACA’s US- based bench of technical expertise in US federal securities laws. This depth of expertise combined with our ability to staff locally has made ACA the chosen provider for managing a wide range of SEC projects of varying scale and complexity throughout the UK and Europe for some of the largest global asset management firms.

OUR SERVICE

 

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.

REQUEST MORE INFORMATION

 

To request more information, complete our contact form or call Andrew Petillon at + 44 (0) 207 042 0500