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Compliance Services in Europe

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Regulatory Compliance Services

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

 

How We Help

 

FCA Authorisation

We are the market-leading service provider for firms seeking to secure their regulatory licences - Part 4A Permission and/or AIFMD, as required by the UK regulator the Financial Conduct Authority (FCA).

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SEC Registration and Support

Our depth of expertise combined with our ability to staff locally has made us the chosen provider for managing a wide range of SEC projects of varying scale and complexity throughout the UK and Europe.

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CFTC/NFA Member Services

We provide commodity trading advisors (CTA), commodity pool operators (CPO), and futures brokerage firms with specialised compliance solutions.

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Compliance Support Solutions

Our staff has the regulatory and practical compliance experience to assist firms with their ongoing compliance responsibilities, including compliance testing, compliance program reviews, and other compliance-related and operational tasks.

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regulatory compliance services

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

Want to learn more about our

Regulatory Compliance Services in Europe?

 

Contact Us