Regulatory Compliance Services

ACA offers global compliance products and consulting services. Our team is composed of former FCA, FSA, SEC, FINRA, NFA and state regulators, along with former senior compliance managers from prominent financial institutions.

 

REGULATORY COMPLIANCE SOLUTIONS

FCA Authorisation

 

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SEC Registration and Support

 

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CFTC/NFA Member Services

 

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Compliance Support Solutions

 

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WHO WE WORK WITH

 

Our clients know that a tailored, well-functioning compliance program is a key success factor in today’s increasingly challenging business and regulatory environments. We respond to our clients' needs by assisting them in developing and maintaining high-quality compliance programs that are customised to each firm’s particular business demands and operational realities.

Our clients include:

  • Investment advisers
  • Private funds
  • Family offices
  • Private equity firms
  • Investment companies
  • Mutual funds
  • Variable insurance companies
  • Municipal advisors
  • Exempt reporting advisers
  • Commodity pool operators
  • Commodity trading advisors
  • Broker-dealers

REQUEST MORE INFORMATION

 

To request more information on ACA’s compliance services, complete our contact form or call Ron Weekes at +44 (0) 207 042 0500.