Compliance Solutions for Investment Companies

Compliance Solutions for Investment Companies

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



    • 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



    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)



    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.