Compliance Solutions for Investment Companies

Compliance Solutions for Investment Companies

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

    How We Help

    • 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
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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. 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)