Investment advisers to both separately managed accounts and private funds need to market their advisory services and private funds in order to grow and sustain their businesses. Complying with the regulatory requirements when marketing advisory services and private funds is a challenge that investment advisers continue to face. How can investment advisers effectively promote their advisory services and private funds in a competitive market while complying with SEC rules and expectations?
As part of ACA Compliance Group, our in-house regulatory and performance experience is leveraged to help your firm understand the broader picture of compliance. We draw from our experience and regulatory insight to help your firm understand industry best practices and the range of compliance issues that your peers face today.
ACA’s Comprehensive C3 Solution® provides a range of services to assist investment advisers with most compliance tasks. The C3 Solution includes:
ACA's Comprehensive C3 Solution® assists private fund managers with nearly all compliance-related tasks, including:
- Performance of annual compliance program reviews
- Development and revision of compliance policies and procedures
- Review of marketing materials and drafting of appropriate disclosures
- Support during SEC onsite examinations
- Help with designing and conducting compliance training
Following the SEC’s recent commentary on Initial Coin Offerings, some investment adviser firm employees will now need to report the personal trades they make in certain types of virtual currency tokens.
New Compliance Testing Survey Also Finds Use of Automation on the Rise
ACA has been working to build relationships with certain insurance carriers and brokers that offer coverage to our clients. Part of our efforts include negotiating discounts or premium reimbursements for firms that obtain one or more of our eligible products. Please check with your insurance broker for more information about insurance carriers that may offer discounts or other incentives, as well as the specific terms of those offers.
Yesterday, the UK electorate voted by a small majority to leave the European Union ("EU"). This result defied the predictions of most pollsters and the financial markets, which had anticipated a "stay" vote. When the markets have calmed down, and the political dust has settled, firms should start thinking about the vote's long-term implications for their businesses. In the next couple of months, we will engage with clients to help with that process from a regulatory perspective.