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Compliance Solutions and Services for Investment Companies

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ACA offers objective, innovative, and effective compliance reviews and solutions to prepare registered investment companies, as well as their boards, sponsors, advisers, sub-advisers, and service providers, for the rigors of SEC examinations. We provide solutions to assist firms with managing and mitigating related operational, regulatory, and reputational risks.

Our Team

 

ACA consultants have sat on both sides of the regulatory examination table, giving them unique knowledge and perspective on regulatory issues and trends that few firms have.

Global Services

  • Conducting regulatory risk reviews
  • Offering hands-on guidance for policy and procedure development and training
  • Providing support during SEC inspections
  • Conducting full-scope Rule 38a-1 policy and procedure assessment reviews

Comprehensive Reviews

  • Valuation
  • Fund share processing
  • Affiliate identification
  • Cross-trade procedures
  • Financial intermediary compensation
  • Revenue sharing
  • Distribution in Guise

Who We Work With

  • Traditional open and closed-end funds
  • Business Development Companies
  • Exchange traded and interval funds
  • Variable Insurance Products
  • Unit Investment Trusts
  • Alternative mutual funds
  • Registered Fund of Hedge Funds
  • Employee Securities Companies
  • Transfer agents
  • Primary advisers and sub-advisers
  • Mutual fund distributors

Compliance Solutions For Your Business

Investment Companies

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

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Business Development Companies

ACA Compliance Group (“ACA”) provides objective, innovative, and effective compliance reviews and solutions to assist business development companies (“BDCs”) — as well as their boards, sponsors, and service providers — with preparing for the rigors of an SEC examination.

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Variable Insurance Products

ACA helps insurance companies and distributors understand and manage these complex compliance requirements and develop and implement the comprehensive, effective risk-based protocols necessary to meet regulators’ expectations.

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Exchange-Traded Funds

ACA provides objective, innovative, and effective compliance reviews and solutions to assist exchange-traded funds ("ETFs" ) with preparing for the rigors of an SEC examination. 

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Investment Company Training Series

 

ACA Compliance Group's Investment Company Training Series webcasts are designed to educate and update compliance professionals whose firms offer funds registered under the Investment Company Act of 1940 on regulatory issues and industry practices. Click the On Demand link below to access our webcasts. If you have any questions about the material covered in these webcasts, please contact us here.

Oversight of Fund Service Providers

Watch On Demand

Section 18 (Senior Securities and Asset Segregation)

Watch On Demand

Pay-to-Play Regulation and Your Compliance Program

Watch On Demand

Closed-End Funds 101

Watch On Demand

Trading Matters for Investment Companies

Watch On Demand

Cybersecurity Considerations for Investment Companies

Watch On Demand

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Thought Leadership

Liquidity Risk Management Program Rule Survey

In response to the mutual fund industry’s need for transparency and insight into how peers are approaching the Securities and Exchange Commission’s liquidity risk management program rule, ACA Compliance Group conducted a survey of mutual fund/ETF complexes and investment advisers/sub-advisers to mutual funds/ETFs. The Liquidity Risk Management Program Rule Survey is a white paper outlining the results we received from this survey.

Discover what we’ve learned so far and what to keep in mind for the coming months.

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An Adviser’s Introduction to ETF Management is a white paper examining the points of consideration for investment advisers exploring the creation and management of an exchange-traded fund (“ETF”).

ETFs remain a trending industry topic, with more and more investment advisers looking to launch these products each year. Our white paper discusses what an ETF is and how it differs from a mutual fund (including creation basket and transparency concepts), reviews the passive and active management concepts, touches on performance presentation considerations, and examines the role of the ETF distributor.

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