Compliance Solutions for Investment Companies

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

HOW WE HELP

Customized investment company policies and procedures for new advisers and sub-advisers
Mock SEC investment company exams
38a-1 compliance program reviews
Customized forensic testing of compliance processes
Sub-adviser due diligence
Assistance with fund mergers and due diligence
Transfer agency reviews
Customized variable insurance product reviews
Outsourced “internal audit” functions and reviews
Mutual fund distributor reviews
Anti-money laundering reviews
Customized focus 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. Our experienced fund team offers the following services:

Traditional open and closed-end funds
Exchange-traded and interval funds
Variable insurance products
Business development companies (BDC)
Unit investment trusts
Alternative investment vehicles
Reg. D private offerings
Employee securities companies (ESC)

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.