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Transforming GRC for Asset Managers and Investment Advisers Worldwide
Comprehensive advisory, managed services, and regulatory technology for your firm.
Struggling with ever-changing regulations and increasing regulatory compliance demands? We can help.
ACA brings decades of experience in working with asset managers, delivered by a global team of former regulators and former in-house compliance specialists.
Whether you are looking to launch, grow, or protect your business, our tailored governance, risk, and compliance solutions help you address the intricacies of regulatory change, enhance your ability to manage regulatory risk, and streamline compliance processes.
Safeguard your business and stay compliant with the latest regulations.
Global Reach
Supporting 6,350+ asset managers and investment advisers worldwide.
Client Satisfaction
96% score for our expertise, responsiveness, recommendations, and ability to understand our client’s business.
Expansive Client Base
Supporting firms of every size from start-ups to over $1.4T in AUM.
What Are You Looking To Do?
Start a new firm, fund, or expand into new jurisdictions.
Scale your GRC program and adapt as your business evolves.
Safeguard your firm, investments, and reputation against emerging threats and changing regulations.
I’m looking to...
Launch a new firm or fund
Extend your presence or market into new territories or jurisdictions
Establish a U.S. ETF, European ETC, U.S. Interval Fund, Tender Offer Fund, or U.S. Mutual Fund
Maintain business continuity while navigating geopolitical challenges
Fundraise, promote, and grow your assets
Trial or ‘sandbox’ new fund and strategies in an incubation setting in the UK
Stabilize operational and compliance budget resiliency
I’m looking to...
Address, review, and maintain your regulatory framework and documentation
Digitize and future-proof your compliance program with regulatory technology
Put in place a scalable compliance program
Meet your regulatory filing commitments and deadlines
Outsource your compliance function to lower expenses, reduce key-man risk
Satisfy investor DDQs, meet standards of institutional investors
I’m looking to...
Seek guidance on regulatory requirements and new rules
Perform an SEC cyber mock audit
Conduct mock regulatory examinations
Implement cyber risk management
Undertake a cyber risk assessment
Run penetration testing
Leverage technology to help with code of ethics, employee compliance, market abuse surveillance, electronic communications surveillance, and more
Gain ESG insights through data and peer analytics
Address ESG gaps with expert advisory support
What are you looking to do?
Take Your Governance, Risk, and Compliance To The Next Level.
Ready to transform your GRC strategy and elevate your success with tailored solutions from industry leaders? Schedule your free consultation with our regulatory specialists today!
Why ACA?
Experience the ACA advantage in governance, risk, and compliance, where our team of compliance consultants, advanced technology, and comprehensive services drive success for asset managers and registered investment advisers. Here’s what sets us apart:
Benchmarking and Industry Expertise
Access insights into asset
management challenges
and compare your GRC posture
to industry peers.
Scalable Support
Leverage the best people,
processes, and technology
to drive growth, enhance
efficiency, and manage
risks effectively.
Award-Winning GRC Solutions
Access top-rated advisory,
managed services, and
regulatory technology solutions for streamlined compliance and
efficiency.
FAQs
Asset Managers and Investment Advisers
What governance, risk, and compliance (GRC) services does ACA offer for asset managers and investment advisers?
ACA provides a comprehensive suite of GRC services, including regulatory compliance consulting, risk assessments, cybersecurity solutions, ESG advisory, managed services, and technology tailored to asset managers and investment advisers.
How can ACA help my firm launch a new fund or expand into new jurisdictions?
ACA supports fund launches and cross-border expansion by offering strategic guidance, regulatory registration assistance, expertise in jurisdictional compliance, and operational readiness assessments to ensure a smooth market entry.
What makes ACA’s compliance solutions different from other providers?
ACA combines deep industry expertise with proprietary technology to deliver scalable, customized compliance solutions. Our integrated approach helps firms stay ahead of evolving regulations while improving operational efficiency.
How does ACA support firms with over $1 trillion in assets under management (AUM)?
ACA partners with large-scale firms by offering enterprise-level compliance frameworks, automated monitoring tools, and strategic advisory services that align with complex regulatory environments and global operations.
What are the benefits of ACA’s Managed Services for investment advisers?
ACA’s Managed Services reduce operational burden by outsourcing key compliance functions such as surveillance, testing, and reporting. This allows firms to focus on growth while ensuring regulatory compliance.
How does ACA help protect firms from emerging regulatory and cybersecurity threats?
ACA provides proactive threat intelligence, cybersecurity assessments, penetration testing, and monitoring of regulatory developments to help firms identify vulnerabilities and stay compliant with evolving regulations.
Can ACA assist with launching exchange-traded funds (ETFs), mutual funds, or interval funds in the U.S. or Europe?
Yes, ACA offers end-to-end support for launching various fund structures, including ETFs, mutual funds, and interval funds. ACA’s services include fund registration, compliance setup, and jurisdictional advisory for both U.S. and European markets.
What is ACA’s approach to benchmarking and industry insights for asset managers?
ACA leverages proprietary data and industry research to provide benchmarking reports, peer comparisons, and actionable insights that help firms evaluate performance and refine their compliance strategies.
Can ACA’s regulatory technology platform streamline compliance processes?
ComplianceAlpha, ACA’s RegTech platform, automates and optimizes day-to-day compliance workflows, including trade surveillance, marketing reviews, and employee compliance management. ACA’s integrated solutions empower you to streamline processes, enhance oversight, and meet regulatory demands with ease.
How can I schedule a consultation with ACA’s compliance specialists?
You can schedule a consultation by visiting our contact page and submitting a request. An ACA specialist will reach out to discuss your firm’s specific needs and how ACA can help.
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