Compliance Solutions for Private Fund Managers

To date, ACA has worked with over 80 percent of the top 100 private fund managers around the world to help them develop or enhance their compliance programs. Our reviews for firms of all sizes help ensure their compliance with the Investment Advisers Act of 1940 and industry best practices.

HOW WE HELP

Compliance Solutions

Compliance program reviews
Mock SEC exams
Mock corrective action review (CAR) exams
Employee and proprietary trading reviews
Electronic communications reviews

Registration and Filings

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

Broker-Dealer Quick Reference Guide

Additional Offerings

Policy and procedure development
SEC inspection support services
Marketing and advertising reviews
Regulatory mandated consulting
Expert network consultation chaperoning
Secondment and compliance staffing solutions, from single day to long-term secondments
ComplianceAlpha^®
Cybersecurity and technology risk assessments
Trade surveillance
Education and training

PACKAGED COMPLIANCE SOLUTIONS FOR PRIVATE FUND MANAGERS

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 private fund managers 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 private fund managers 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 private fund managers with limited needs, ACA’s Compliance Assistant Solution includes unlimited consultation and timely updates on current rules and regulations.

REQUEST MORE INFORMATION

To request more information on ACA’s private fund services or a proposal for assistance with your specific compliance needs, complete our contact form or call Damon Zappacosta at (212) 951-1030.