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
Exchange Traded Product Regulatory Compliance Policies and Procedures
Mock ETP SEC investment company exams
38a-1 ETP compliance program reviews
On-site SEC inspection support services
Regulatory body mandated independent compliance consultant services

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

WEBCAST

2017 ETF Webcast

Investment Company Training Series –
Investment Company Act Focus on ETFs

Watch On Demand

WHITE PAPER

2017 ETF White Paper

An Adviser's Introduction to ETF Management

Download

REQUEST MORE INFORMATION

To request more information on ACA’s investment company services or a customized proposal for compliance assistance, please complete our contact form or call Maureen Colligan at (617) 589-0904.