European-Based SEC Adviser Registration and Support

Global SEC Solutions: Unlocking U.S. Markets from Europe

Our London-based team of consultants is dedicated to providing regional U.S. Securities and Exchange Commission (SEC) regulatory support to European  investment managers and advisers doing business in the U.S. and attracting U.S. investors.

UK investment managers and advisers seeking to do business in the U.S. or to attract U.S. investors may have certain SEC registration and filing obligations. Registered Investment Advisers (RIAs) must comply with numerous SEC rules and regulations that can be difficult to navigate. Even Exempt Reporting Advisers (ERAs) must be aware of and comply with certain relevant rules and regulatory filings. Adherence to such rules and regulations can be onerous for firms domiciled outside of the U.S.

Our Solutions

SEC Registration and ERA Filings

We work with you to navigate your SEC filing responsibilities as a Registered Investment Adviser (RIA) or exempt reporting adviser (ERA), and to file Form ADV with the SEC.

Compliance Program Development

We can assist you with establishing your compliance program, from drafting SEC compliance policies and procedures, establishing a compliance calendar, assisting with other necessary filings under US securities regulations, to training your compliance officer and your entire staff.

Mock SEC Examinations and Annual Reviews

Our team can conduct mock SEC examinations or can assist your firm in conducting your Rule 206(4)-7 annual reviews.

Ongoing Compliance Consulting and Training

Our team keeps up to date on changes in SEC regulations and can work closely with you to tailor your compliance program when necessary. We can also conduct bespoke SEC compliance training for your firm.

Compliance Education

With access to ACA’s conferences, compliance webcasts, and regular emails of Compliance Alerts, our clients can keep up to date on SEC regulations and compliance best practices.

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How we help

By relocating a team of experienced SEC consultants from the U.S. to London, we offer a regional practice providing RIAs and ERAs a unique offering of on-the-ground, comprehensive SEC compliance support from a team of SEC compliance specialists with decades of experience working in the U.S.

The team has provided support to more than 100 financial services firms registered with the FCA, Central Bank of Ireland, BaFIN, FINMA, AMF, and Swedish FSA, among other regulators. In addition, they have conducted more than 250 mock SEC examinations and compliance program reviews, and assisted numerous clients with actual SEC examinations, both in the U.S. and UK.

We have a broad range of professional services and solutions to support your firm with its compliance obligations on an ongoing basis.