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Compliance Solutions for Municipal Advisors

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ACA can assist municipal advisors in developing supervisory and compliance programs, conducting annual compliance reviews, and preparing for SEC/FINRA regulatory examinations.

ACA’s municipal advisor compliance solutions incorporate combinations of the following services that are tailored to serve our clients’ specific needs:

  • SEC registration, including development and filing of Form MA and MA-I
  • Development of customized supervisory policies and procedures
  • Annual compliance program and supervisory system reviews
  • Ongoing reviews of policies, procedures, and compliance documents
  • SEC inspection support, including onsite assistance during an actual SEC inspection
  • Compliance education and employee training