Regulatory Filings
Review Services

ACA Compliance Group offers regulatory filings review services to investment advisers. Our filings team helps managers determine and meet their regulatory filing obligations under Section 13 and Section 16 including Schedule 13G, Form 13H, Form 13F, and Forms 3, 4, and 5.

ACA’s regulatory filings reviews include the following components:

  • A “scoping” conference call to ascertain whether SEC and certain global filings requirements apply to your firm
  • A review of past filings made by your firm, as applicable, for completeness and timeliness
  • A review of your firm’s structure and any aggregation issues that may arise with respect to affiliates and clients
  • Interviews with your firm’s compliance, legal, and operations personnel to discuss, among other things, your firm’s processes for monitoring and calculating regulatory filing thresholds and tracking deadlines
  • A review of any applications or systems used by your firm to track regulatory filing thresholds
  • A review of written policies and procedures that address regulatory filings
  • A review of any reports used by your firm to track beneficial ownership for Exchange Act and global filing purposes
  • A comparison of holdings information generated by third-party custodians or administrators or your firm to Form 13F reports for consistency
  • A trade blotter analysis to help determine whether your firm has met the identifying activity level for Form 13H

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For more information, complete our contact form or contact Damon Zappacosta at (212) 951-1030 or Jessica Huelbig at (973) 631-1085.