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Compliance Solutions for Exchange-Traded Funds

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  2. Regulatory Compliance
  3. Investment Company
  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

     

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    Compliance Solutions for Exchange-Traded Funds?

     

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