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Compliance Services and Solutions for Hedge Fund Managers

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ACA’s team can support you with industry challenges unique to hedge funds and your everyday needs by providing advisory consulting, managed services, technology solutions, and education and training. Our employees include former SEC, FINRA, CFTC, FCA, NFA, OCC, and state regulators along with former Chief Compliance Officers and senior compliance managers from prominent hedge funds and other financial institutions. Feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to support you through every step of the process.

 

Download Our Hedge Fund Brochure      Request A Meeting

Who We Help

 


We work with hedge fund managers to provide innovative governance, risk, compliance, and technology solutions that enhance their operational and business processes. Since inception, we’ve worked with over 1,000 hedge fund managers.

89%

Today our clients include 89% of the top 100 hedge fund managers (Hedge Fund Alert, April 2019) with a diverse set of investment strategies and business operations.

SPOTLIGHT ON REGULATORY HOSTING
MIRABELLA: PAVING YOUR PATH TO EUROPE

If you are a new venture that wants to begin actively investing or trading, even while regulatory applications are still being processed, we offer our regulatory hosting service, Mirabella. Our team hosts firms who undertake regulated activities in the EU who do not yet have their own license, including start-up and established investment managers, as well as distribution and advisory firms.

 

Paving Your Path to Europe
 

US firms that have considered a trading or distribution office in the UK, or even marketing to EU investors without a permanent presence, find themselves facing logistical and regional challenges that seem daunting, complicated, and time-consuming. But with the right local partners, upgrading your business to international status can be straightforward and simple, no matter what your current business size. 

In this webcast we discuss an uncomplicated and effective route to achieving your international expansion goals.

Watch On Demand

HOW WE HELP

ACA has expertise in supporting hedge funds in the Compliance, Cybersecurity, Performance, Technology and Financial Crimes space and can help with challenges and every day needs by providing clients with advisory consulting, managed services, technology solutions, and education and training.

Compliance Services

Compliance, Risk, and Advisory Consulting

Make decisions with confidence

Our compliance, risk, and advisory consulting supportings firms to review and develop compliance and risk programs based on best practices and regulatory expectations. 

Our services include but are not limited to:

  • Focused and enterprise level risk assessments
  • Mock regulatory or compliance program reviews
  • Forensic testing
  • Policy and procedure development and enhancement
  • Secondments, co-sourcing, and other staff augmentation
  • GIPS® compliance services
  • Retainer based consulting
  • Registration services
  • UK corporate and fund tax services
  • Sanctions and regulatory remediation

Learn more about our Mock SEC Exams

Managed Services

Managed Services

Get more done while easing the burden of day to day tasks

Our managed services can support you with your ongoing compliance responsibilities, including compliance testing, compliance program reviews, and other operational tasks.

Managed services include but are not limited to:

  • Marketing and advertising reviews
  • Scalable compliance testing and remediation projects
  • Vendor and third-party risk reviews
  • Virtual CISO
  • Electronic communications surveillance 
  • Expert network consultation chaperoning
  • Regulatory filings (13F, 13H, 13G, Form PF, CPO-PQR, Annex IV)
  • UK accounting and tax compliance
  • Full service support for regulatory compliance technology products

Learn more

Technology Services

Technology Solutions

Increase efficiency, streamline processes, and automate manual tasks

We provide mission-critical financial software products and services that can help you to increase operational efficiencies, reduce risk, and increase profitability. 

Investment Management 

  • Order management system
  • Portfolio management system
  • Compliance rules engine

Data Management and Governance

  • Data warehouse
  • Security master
  • Price master

Regulatory Compliance

  • ComplianceAlpha® risk and compliance management platform. Includes functionality for:
    • Compliance program management 
    • Marketing review solution
    • Personal trading surveillance and code of ethics
    • Trade surveillance
  • Regulatory reporting (Form PF, CPO-PQR, Annex IV)

Learn more

Education and Training

Stay informed and ahead of the curve

The industry is constantly shifting. Staying up to date with those shifts empowers you to do your job better and function more efficiently. We offer several engaging, dynamic educational opportunities to help you and your staff stay informed on regulatory initiatives, GIPS® standards, cybersecurity and industry topics. 

Educational offerings include but are not limited to:

  • Tailored onsite or offsite training solutions
  • Cybersecurity and privacy online and in-person training
  • Phishing testing and staff security training
  • Compliance training
  • GIPS® standards education and training
  • Insider trading online training
  • Webcasts, Conferences, and Roundtables

Learn more

SPOTLIGHT: TRADE SURVEILLANCE TECHNOLOGY

ACA's trade surveillance technology provides in-depth trade surveillance to help identify items of interest and potentially problematic transaction and investment activity. The system offers a case management tool that can track and store emails, reports, and research related to each investigation. With regulators adopting cutting-edge trading surveillance tools — and handing out record-breaking fines resulting from their discoveries — our surveillance technology will help you match their efforts and take control of your own trade data.

 

Request a Demo

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RESOURCES

WEBCASTS

ACA Compliance Group hosts numerous webcasts providing insight and perspective on the latest trends and hot topics in the industry. 

  • Hedge Fund Strategy Series: Part 1 – Novel Compliance Issues Faced by Credit Managers - Watch On Demand
  • Hedge Fund Strategy Series, Part 2: Novel Compliance Issues Faced by Equity Managers - Watch On Demand
  • Hedge Fund Strategy Series, Part 3: Compliance Considerations for Quantitative Investment Strategies - Watch On Demand
  • Cryptocurrency Regulation for Investment Advisers - Watch On Demand
  • A Brave New World – Primers on Big Data and Cryptocurrency Risks - Watch On Demand

View our complete list of webcasts here.

INSIGHTS AND ALERTS

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HFM Services 2019 Winner - Best Advisory Firm Regulation and Compliance