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

    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.