Board of Directors Services

Board of Directors Services

ACA’s Investment Company Practice partners with mutual fund boards, their legal counsel, and advisers to deliver best in class independent reviews of board governance and compliance procedures to assist with board oversight and the mitigation of operational, regulatory, and reputational risk.

OUR CLIENTS

Our Clients

We work with boards to enhance board governance of critical issues and the oversight processes of fund investment advisers, sub-advisers, and service providers.

64%

of the top 100 mutual funds
(as noted in the Mutual Fund Directory November 2017 ranking data)

HOW WE CAN HELP

We work with boards to enhance board governance of critical issues and the oversight processes of fund investment advisers, sub-advisers, and service providers. Board clients can utilize the individual and cross-discipline skills and experience of all that ACA Compliance Group can offer applied to the unique oversight needs of mutual fund boards.
 

Learn more about ACA’s Independent Review Service

Download our Overview

Regulatory Compliance

We work with compliance and legal professionals to review and develop compliance programs based on best practices and regulatory expectations. Explore our compliance solutions here

Liquidity Risk Management

We are dedicated to supporting our clients in navigating the SEC’s liquidity risk management program rule through educational resources and alerts, benchmarking insight, help with program management and development of policies and procedures, readiness assessments, and more. Learn more about our liquidity risk management program resources here.

Vendor Diligence and Management

ACA's vendor management outsourcing service (VMOS) allows your firm to offload the vendor due diligence and risk assessment process. Unlike other vendor management solutions and vendor management software providers, ACA's VMOS will help your firm save valuable time and resources in order to focus on more strategic tasks. Learn more about our vendor diligence and management services here. 

Exchange-Traded Funds

ACA offers diverse compliance review and compliance services, all scalable to individual client needs. Our expertise in unique fund structures comes from our consultants’ experience as former SEC regulators, in-house compliance personnel, and our ongoing provision of services to large fund complexes and boutique fund families. Learn more about how we help exchange-traded funds here.

SPOTLIGHT: BOARD OVERSIGHT OF CYBERSECURITY

BOARD OVERSIGHT OF CYBERSECURITY…In search of the Rosetta Stone

In this white paper, ACA Compliance Group’s James Pappas and ACA Aponix’s Askari Foy offer guidance, tools, and a suggested framework for cybersecurity oversight by a board.

Request 

Board Oversight of Cybersecurity White Paper Cover

RESOURCES

Webcasts

ACA Compliance Group hosts numerous webcasts providing insight and perspective on the latest trends and hot topics in the industry. View our complete list of upcoming webcasts here and watch the below webcasts on demand.

Insights and Alerts

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Related Products, Services, and Solutions

REQUEST MORE INFORMATION

For more information on our services, please fill out our contact form or connect with Maureen Colligan at +1 (857) 303-7304 or Jim Pappas at (617) 259-0851.