Find out what cybersecurity practices your firm should prioritize in order to prepare for the end of the year, as well as plan ahead for 2023.
The registration or application process can seem lengthy, overwhelming, and daunting. Whether you are seeking authorization for the first time, or are an established regulated firm looking to move into a new line of business we can help you avoid any unnecessary complications and delays.
Our team will simplify the process by assisting with your initial application or filing, support with the set-up and implementation of your compliance program, and provide ongoing support.
We offer SEC, FINRA, CFTC and NFA, and state registration as well as FCA authorization support services. Or if you are launching a new investment management firm, or extending an existing venture, we also offer regulatory hosting through ACA Mirabella.
SEC requires certain investment advisers to register with the SEC and to establish and maintain an adequate compliance program. Our team will assist your firm with the initial Form ADV filing, annual Form ADV amendments, and the set up and maintenance of an adequate and effective compliance program.
Broker-dealers are required to register with the FINRA and establish an adequate compliance program. We'll assist with the initial broker-dealer application filing, CRD training, and preparation of compliance and supervisory procedures. In addition, our team can assist existing broker-dealers with a Change in Membership (CMA) application with FINRA.
If you're seeking CFTC registration and National Futures Association (NFA) membership our team includes former NFA examiners who can guide you through the relevant steps in the registration process and assist with the development and implementation of your commodity interest-related compliance program.
If you require authorization project management to help you secure your regulatory licences - Part 4A Permission and/or AIFMD our experienced team can help. We’ve supported hundreds of firms through this process and provide support before, during and after the application, and can help you avoid unnecessary complications and delays.
A London-based regional practice, providing RIAs and ERAs a unique offering of on-the-ground, comprehensive SEC compliance support. The specialist team has conducted more than 250 mock SEC examinations and compliance program reviews, and provided support to more than 100 financial services firms registered with a range of European regulators. Learn more
If you wish to submit a full FCA license or a third-country branch application, our Brexit team is on hand to help. We will draft the FCA application package, prepare for meetings with the regulator where required, and respond to FCA due diligence requests.
For firms wishing to launch a new venture, we offer regulatory hosting through ACA Mirabella. This multi-award winning platform is the the industry’s preferred institutional-quality solution for regulatory incubation because of the strong oversight and controls the team brings to each organisation’s project. Mirabella enables firms to get up and running quickly by operating under its regulatory agency
Who we've helped
With a client base of over 3,500 firms, we've successfully assisted thousands of firms through the registration and authorization process.
SEC Registrations for U.S. Firms
SEC Registrations for Non-U.S. Based Firms
Why work with us?
Our team includes former SEC, FINRA, FCA, NFA, CFTC, OCC, and state regulators along with former along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions. We offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value.
With ACA, you can feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to support you through every step of the process.
The FCA has issued final rules on the Appointed Representatives (“AR”) regime, aimed at protecting consumers. We examine the new expectations and what they mean.
The FCA's latest Dear CEO letter notes that recent events have caused them to reassess their supervisory priorities for the alternatives sector.
While the SEC’s draft Strategic Plan does not appear to indicate a directional shift, it does nod toward more aggressive enforcement. Learn how this affects your firm.
The FCA recently announced a proposal to broaden retail access to Long-Term Asset Fund (“LTAF”). But what is an LTAF? Does anyone actually want one? Or is this just a regulatory anagram for FLAT?
We are excited to celebrate Hispanic Heritage Month with our Hispanic/Latinx Organization for Leadership & Advancement (HOLA) Employee Resource Group!
ACA has announced their launch of a dedicated outsourced chief compliance officer (OCCO) practice for the financial services industry.