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
