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Compliance Solutions for Exchange-Traded Funds

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  4. Compliance Solutions for Exchange-Traded Funds

ACA offers diverse compliance review and compliance services, all scalable to individual client needs.

    How We Help

    • SEC Exemptive Order Review/Gap Assessment
    • Customized investment company policies and procedures for new advisers and sub-advisers
    • ETF Product Regulatory Compliance Policies and Procedures
    • Mock ETF SEC investment company exams
    • 38a-1 ETF compliance program reviews
    • On-site SEC inspection support services
    • Regulatory body mandated independent compliance consultant services
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    Registered Fund Consultation

    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.

    Spotlight

    Investment Company Training Series –
    Investment Company Act Focus on ETFs

    2017 ETF Webcast

    WEBCAST

     

    Watch On Demand

    An Adviser's Introduction to ETF Management

    2017 ETF White Paper

    WHITE PAPER

     

    Download

    Resources

    SEC Adopts ETF Rule

    Regulatory Changes with Compliance Implications for Exchange-Traded Funds

    How ETP Managers Can Ensure Compliance with Continued Listing Standards

    Want to learn more about

    Compliance Solutions for Exchange-Traded Funds?

     

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