SEC Registration and Support in Europe

 

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UK investment managers and advisers seeking to do business in the U.S. or to attract U.S. investors may have certain U.S. Securities and Exchange Commission (SEC) registration and filing obligations. Registered Investment Advisers (RIAs) must comply with numerous SEC rules and regulations that can be difficult to navigate. Even Exempt Reporting Advisers (ERAs) must be aware of and comply with certain relevant rules and regulatory filings. Adherence to SEC rules and regulations can be onerous for firms domiciled outside of the U.S.

We are on hand to assist your firm with registering with the SEC or filing as an ERA. Our London-based team of SEC consultants can also provide ongoing support to help your firm address its SEC reporting and compliance obligations.

How We Help

 

ACA’s 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.

SEC registration and the ensuing compliance requirements are uncharted territory for many managers domiciled outside of the U.S. Our expertise can help you successfully navigate that territory. In addition to managing SEC registrations for RIAs and ERAs, 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
  • Preparing for SEC examinations
  • Conducting compliance training
  • Making regulatory filings
  • Reviewing marketing and sales literature
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Our Team

 

ACA Compliance (Europe) is one of the only regulatory compliance firms with SEC consultants located in the UK. Our SEC team in London has over 25 years of collective experience working with RIAs and ERAs and has conducted over 250 mock SEC examinations and compliance program reviews.

Our SEC consultants in London are fully supported by ACA’s entire team located throughout the U.S., which gives our UK clients extensive access to technical advice and industry best practices. Having boots on the ground in London allows for the timely provision of services and advice as well as the opportunity for ACA to provide in-person onsite support.

SEC Registration and Support Services

 

Factsheet

SEC Registration and Support

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