Compliance Support
Solutions

Strong compliance programs demand appropriate resources and continued support. ACA's compliance support solutions provide CCOs with valuable support to help ensure proper implementation of their firms’ compliance procedures.

COMPLIANCE SUPPORT SOLUTIONS

 

ACA’s staff has the regulatory and practical compliance experience to assist firms with their ongoing compliance responsibilities, including compliance testing, compliance program reviews, and other compliance-related and operational tasks. Our testing helps firms address immediate needs such as those related to new regulatory developments and business changes.

Electronic Communications Reviews

ACA specializes in conducting thorough reviews of electronic communications to help firms meet their regulatory expectations in this area.

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Marketing and Advertising Reviews

ACA’s marketing and advertising review assistance allows your firm to significantly reduce the amount of time and resources devoted to the marketing and advertising review process.

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Regulatory Filings Review Services

ACA offers regulatory filings review services to investment advisers. Our filings team helps managers determine and meet their regulatory filing obligations under Section 13 and Section 16 including Schedule 13G, Form 13H, Form 13F, and Forms 3, 4, and 5.

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Expert Network Consultation Chaperoning

ACA can assist compliance and legal teams by chaperoning expert network consultations

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Trade Surveillance

ACA's Decryptex® provides in-depth trade surveillance to help identify items of interest and non-compliant trading and investment activity. 

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Vendor and M&A Diligence Services

ACA's vendor diligence and management services are designed to help companies of all sizes allocate limited resources while reducing the burden, risks, and costs associated with the management of the vendor lifecycle.

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Secondment and Compliance Staffing Solutions

ACA provides skilled resources on a long-term basis to assist firms during times of need, such as personnel transitions or extended absences. We also can assist firms on a routine basis in order to provide fresh perspectives and insight on a firm’s compliance program.

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Social Media Surveillance Service

ACA's social media surveillance service can assist your firm’s compliance department with identifying online activity that could pose compliance or reputational issues for your firm.

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Additional Solutions Include:

  • Code of Ethics Support
  • Valuation/Pricing Analysis
  • Portfolio Management, Trading, and Insider Trading Reviews
  • Performance dispersion testing
  • Quantitative analysis and reporting
  • Soft dollar eligibility analysis
  • Counterparty exposure tracking and reporting
  • Cross trade, principal trade, and agency cross trade reviews
  • Testing for compliance with Rule 105, Rule 144A, and Sec. 12(d)(1)
  • Client and Investor Interactions
  • Proxy Voting and Class Action Participation
  • Side Letter Obligation Tracking and Related
  • Testing of Investment Mandate Compliance

REQUEST MORE INFORMATION

 

For more information about ACA's compliance support solutions, please contact Damon Zappacosta at +1 (212) 951-1030.