What compliance functions can ACA support through Managed Services?

AML due diligence, sanctions screening, marketing review, and core compliance task execution.

Can ACA help firms manage global AML onboarding and screening requirements?

Yes—covering due diligence, onboarding, screening, and monitoring to meet global AML standards.

How does ACA support Marketing and Financial Promotions review?

By reviewing pitchbooks, emails, and other content for SEC, FCA, and ESMA compliance.

What is included in core compliance task outsourcing?

Regulatory calendar execution, compliance tracking, policy reviews, and flexible staffing.

Can ACA provide temporary compliance staff or secondments?

Yes—short-term and ongoing secondments to fill key compliance roles.

How do firms maintain control while outsourcing compliance tasks?

Firms retain final oversight and decision-making while ACA executes tasks per their policies.

What systems does ACA use to deliver its services?

Services run on ACA’s ComplianceAlpha ® platform or within clients’ existing systems.

Does ACA support multi-jurisdictional compliance teams?

Yes—structured to handle U.S., U.K., and EU regulatory frameworks.

How does ACA ensure consistent execution across compliance tasks?

Standardized procedures and escalation logic ensure repeatable, policy-aligned work.

Home Advisory Distribution Compliance DTCC/NSCC Fund Sponsorship

DTCC/NSCC Fund Sponsorship

ACA Foreside Streamlines NSCC Memberships

ACA Foreside can apply for, obtain, and maintain a National Securities Clearing Corporation (NSCC) membership participant number for domestic mutual funds, collective trusts, and foreign funds such as Société d’investissement à Capital variable (SICAVs) and Undertakings for Collective Investment in Transferable Securities (UCITS). Additionally, we provide guidance to clients and their transfer agents on administering, implementing, and maintaining the fund’s operational policies and procedures to ensure compliance with NSCC rules and guidelines.

Get more information

ACA Foreside Enhances Fund Distribution

Partnering with ACA Foreside gives your firm access to specialized operational and regulatory expertise, streamlining fund distribution through Depository Trust & Clearing Corporation (DTCC)/NSCC services and ensuring your data is accurate, compliant, and ready for the intermediary marketplace.

DTCC/NSCC Fund Membership Sponsorship

NSCC membership through ACA Foreside allows for fund clients to benefit from the Mutual Fund Services provided by the DTCC’s NSCC subsidiary which focuses on automation, specialization, and centralization, resulting in a more efficient operation. These services include:

ACATS-Fund/SERV: Transfer fund shares from one firm to another.
Commission Settlement: Simplify payment reconciliation between funds and third-party distribution.
Daily Price and Rate File: Receive daily net asset values and rates for daily accrual funds.
Defined Contribution Clearance and Settlement: Facilitate the processing and information exchange of retirement and other benefit programs.
Fund/SERV^®: Centralize order entry, confirmation, registration, and money settlement.
Global Update: Transmit updated information to funds on firms’ branches and account executives.
Mutual Fund Profile Service: Access a central source for funds’ prospectus information.
Networking: Exchange and reconcile account-level information between funds and firms.
Networks for Standardized Data Reporting: Fund companies can request information on omnibus and super-omni bus accounts to better monitor trading activity.
Transfer of Retirement Assets: Transfer the value of fund shares held in fund sponsored IRAs from one fund to another.
Cost Basis Reporting Service (CBRS): Comply with IRS regulations by simplifying the data transmission of cost basis and asset transfers.

Mutual Fund Profile II Support

Our in-house DTCC/NSCC membership experts will collect and publish your firm’s management company, fund and Committee on Uniform Securities Identification Procedures (CUSIP) profile information into the NSCC Mutual Fund Profile II for intermediary use. Firms rely on the DTCC’s Mutual Fund Profile II service to establish CUSIPs for trading on their back-office trading systems. Services include:

Review Mutual Offering Documents: Our experts will review your mutual fund offering documents (prospectus, SAIs, etc.) for the necessary data points.
Quality Control: We will conduct a quality control review of all information input prior to releasing the data for use by intermediaries.
Data Population into NSCC Mutual Fund Profile II: We will populate all required data fields within the Mutual Fund Profile II system. Our team of experts, who have been reviewing mutual fund offering documents and their necessary data points for over 15 years, can assist with connecting your firm to the intermediary community.
Ongoing Maintenance: We will review, update, and maintain your firm’s data to ensure accuracy and completeness on an ongoing basis.

Get Started Today

Learn why the industry’s most well-known firms choose to partner with us. Book a call with our Distribution team to explore our DTCC/NSCC Fund Distribution solutions.

Simplifying Fund Ops with ACA

Navigating DTCC/NSCC membership and fund operations is complex; we make it simple, efficient, and compliant.

Proven Operational Expertise

With decades of experience supporting fund operations, we guide your firm through every step of the NSCC membership process, from application to ongoing maintenance, ensuring accuracy and efficiency.

Regulatory Confidence

Our team understands the intricacies of NSCC rules and DTCC requirements. We help you implement and maintain compliant operational procedures, reducing risk and ensuring readiness for regulatory scrutiny.

Seamless Intermediary Connectivity

Through services like Mutual Fund Profile II support and data population, we help your firm establish and maintain the critical connections needed to trade and distribute through intermediary platforms.

FAQs

DTCC/NSCC Fund Sponsorship

What is NSCC sponsorship and how does ACA Foreside support it?

NSCC sponsorship through ACA Foreside allows your firm to access DTCC’s Mutual Fund Services without applying for direct membership. We handle the application, obtain and maintain your participant number, and ensure ongoing compliance with NSCC rules.

What types of funds are eligible for NSCC sponsorship through ACA Foreside?

We support domestic mutual funds, collective investment trusts, and foreign funds such as SICAVs and UCITS. Financial intermediaries often expect or require these types of funds to be available via NSCC trading platform as a prerequisite for trading. We provide that connectivity through our services.