Regulatory Compliance Project Support for Investment Advisers

Regulatory Compliance Project Support

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ACA Compliance (Europe) specialises in the FCA Part 4A and AIFMD application process as well as providing clients with professional ongoing compliance and regulatory support. We also undertake special regulatory projects as requested by our clients. In addition, we support our clients' the compliance function whilst their in-house resources are unavailable or are diverted to internal projects.

How We Help

  • Full management of the FCA application process (Part 4A Permission)
  • Full management of the AIFMD application process
  • SEC/ERA and NFA registration
  • Design and implementation of FCA and European regulatory controls (AIFMD, EMIR, MiFID, short selling, etc.)
  • Design and deliver the Internal Capital Adequacy Assessment Process (ICAAP) and other risk-based controls
  • Temporary provision of compliance officer/department resources
  • Mock FCA, SEC, or NFA/CFTC examinations
  • Independent review of electronic communications (See Review of Electronic Communications)
  • Regulatory due diligence
  • AML and specialised compliance training
  • Post MiFID II implementation reviews
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