Regulatory Compliance Project Support for Investment Advisers

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