Investment Adviser Compliance Services & Solutions

Compliance Services & Solutions for Investment Advisers

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We help our clients manage regulatory compliance, cybersecurity and risk, and performance verification through our consulting, outsourcing, and technology solutions. Our reviews for firms of all sizes help ensure their compliance with the Investment Advisers Act of 1940 and industry best practices. Our experienced team of compliance professionals—many of whom are former federal, state, and SRO regulators—understand compliance and operational challenges. They use their frontline knowledge to help clients develop and sustain strong, reliable compliance programs in the manner best suited to their firm’s needs, size, and structure.

How We Help

 

Compliance Solutions

Registration and Filings

  • Form PF, Form 13F, 13G, and 13H report filing
  • SEC and state registration
  • IARD administration
  • AIFMD reporting

Additional Offerings

compliance how we help

Packaged Compliance Solutions for Investment Advisers

 

ACA offers several packaged solutions for compliance support that provide assistance at varying levels.

Comprehensive C3 Solution®

ACA’s C3 Solution provides a range of services to assist investment advisers with most compliance tasks.

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Compliance Cornerstone™ Solution

ACA’s Compliance Cornerstone Solution is ideal for firms that do not require a total compliance solution. It offers investment advisers unlimited consultation, access to ACA’s library of compliance documents, a subscription to ACA’s weekly compliance newsletter, and a high-level customized compliance review. In addition, we assist clients in preparing and submitting required IARD filings.

Compliance Assistant™ Solution

For investment advisers with limited needs, ACA’s Compliance Assistant Solution includes unlimited consultation and timely updates on current rules and regulations.