Compliance Solutions for Exchange-Traded Funds

Compliance Solutions for Exchange-Traded Funds

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

    HOW WE HELP

     

    • SEC Exemptive Order Review/Gap Assessment
    • Customized investment company policies and procedures for new advisers and sub-advisers
    • Exchange Traded Product Regulatory Compliance Policies and Procedures
    • Mock ETP SEC investment company exams
    • 38a-1 ETP compliance program reviews
    • On-site SEC inspection support services
    • Regulatory body mandated independent compliance consultant services

    REGISTERED FUND CONSULTATION

     

    Our expertise in unique fund structures comes from our consultants’ experience as former SEC regulators, in-house compliance personnel, and our ongoing provision of services to large fund complexes and boutique fund families.

    SPOTLIGHT

    WEBCAST

    2017 ETF Webcast

    Investment Company Training Series –
    Investment Company Act Focus on ETFs

    Watch On Demand

    WHITE PAPER

    2017 ETF White Paper

    An Adviser's Introduction to ETF Management

    Download

    REQUEST MORE INFORMATION

     

    To request more information on ACA’s investment company services or a customized proposal for compliance assistance, please complete our contact form or call Maureen Colligan at (617) 589-0904.