GRC Solutions for Digital Asset Managers

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  1. Who We Serve
  2. GRC Solutions for Digital Asset Managers

The growth of the digital asset space in recent years has naturally led to the advent of “cryptocurrency hedge funds” and other investment management firms that make digital asset investments on behalf of their clients. As a result, digital assets including cryptocurrencies, initial coin offerings, and other blockchain focused assets continue to be a focus area for the U.S. Securities and Exchange Commission (SEC) and other regulators. 

Our solutions are specifically designed to help firms align their advisory processes with regulatory requirements and the expectations of the SEC and the U.S. Commodity Futures Trading Commission (CFTC).

Bitcoin and other cryptocurrencies have brought new thinking to payments and financial inclusion, but they’ve also raised new issues of investor protection. If confirmed at the SEC, I will work to promote innovation.

Gary Gensler, SEC Chairman Nominee

Our solutions

We provide customized compliance solutions for advisers dedicated to managing digital assets, including cryptocurrencies, initial coin offerings, and other blockchain focused assets.

Regulatory Registration and Compliance Program Development

ACA assists with:

  • Preparing and filing Form ADV
  • CFTC registration and NFA membership
  • Developing customized compliance policies and procedures
  • Developing compliance infrastructure
  • Implementing customized compliance programs
Registration Filings Support

We provide:

  • Form ADV reviews
  • IARD filings with appropriate state and federal regulators
  • Private Fund Reporting Depository administration services
  • Form PF reasonableness review
  • NFA Online Registration System ("ORS") assistance
Additional Offerings
  • Policy and procedure development
  • SEC inspection support services
  • Marketing and advertising reviews
  • Secondment and compliance staffing solutions, from single day to long-term secondments
  • On- and off-site assistance with periodic and ongoing compliance tasks and activities
  • Focused performance reviews
  • Regulatory Reporting Platform
  • Cybersecurity and technology risk assessments
  • Trade surveillance
  • Education and training
     
Regulatory Technology

Build a scalable and resilient compliance program with our regulatory technology software platform backed by managed services support.

Managed Services

Maximize your firm’s time and efficiency with our technology-powered managed services.

Cybersecurity, Privacy, and Risk

Build cyber and operational resilience across your firm with our team of cybersecurity and technology risk experts.

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Featured Insights

Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

SEC Increases Focus on Digital Assets

On February 26, 2021, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released a Risk Alert highlighting areas of concern found in its examinations of investment advisers and broker-dealers investing and dealing in digital assets that are securities. We believe that these recent Division observations highlight the SEC’s interest in Digital Asset Securities and are a precursor to additional scrutiny in these areas.

Compliance Alert
  • Compliance

SEC Staff Statement on Registered Funds Investing in the Bitcoin Futures Market

The Securities and Exchange Commission’s Division of Investment Management staff released a statement this week concerning registered funds, most notably mutual funds, investing in the Bitcoin futures market. The statement addressed both perceived investor risk when investing in a mutual fund with exposure to the Bitcoin futures market, as well as IM staff’s intended coordination with the Division of Examinations and the Division of Economic and Risk Analysis. Read our summary and analysis of the statement in our compliance alert.

Compliance Alert
  • Compliance
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Upcoming events

2022 SEC Priorities and Focus Areas

We will discuss how the 2022 SEC Examination Priorities, Risk Alerts and new proposed rules may impact your firm and your compliance program.

Webcast

Annual Compliance Training - 7 June 2022

The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.

Online Training
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