Compliance Solutions for Investment Companies

Compliance Solutions for Investment Companies

Contact Us

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

    How We Help

    • Customized investment company policies and procedures for new advisers and sub-advisers

    • Mock SEC investment company exams

    • 38a-1 compliance program reviews

    • Customized forensic testing of compliance processes

    • Sub-adviser due diligence

    • Assistance with fund mergers and due diligence

    • Transfer agency reviews\

    • Customized variable insurance product reviews

    • Outsourced “internal audit” functions and reviews

    • Mutual fund distributor reviews

    • Anti-money laundering reviews

    • Customized focus reviews

    • On-site SEC inspection support services

    • Regulatory body mandated independent compliance consultant services

    blue gradient top to bottom

    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. Our experienced fund team offers the following services

     

    • Traditional open and closed-end funds

    • Exchange-traded and interval funds

    • Variable insurance products

    • Business development companies (BDC)

     

    • Unit investment trusts

    • Alternative investment vehicles

    • Reg. D private offerings

    • Employee securities companies (ESC)