Gain a Competitive Edge with GRC Solutions for Hedge Funds

Hedge funds operate in a complex and evolving regulatory environment, with requirements varying across jurisdictions such as the SEC, CFTC, FCA, MAS, SFC, DFSA, FSRA, and others. ACA helps firms navigate these challenges by offering end-to-end regulatory support, including:

• Registration and authorization services across many global jurisdictions
• Regulatory hosting for faster time to market
• Ongoing compliance advisory and managed services
• Program design, implementation, and testing
• Global filings and disclosures (e.g., Form PF, AIFMD Annex IV, MAS returns)
• Strategic cross-border regulatory guidance for market expansion

Our ComplianceAlpha^® platform helps hedge funds automate and streamline compliance through tools for:

• Personal trading and code of ethics management and automation
• Marketing review and approval workflows
• Trade surveillance and risk monitoring
• Compliance testing, documentation, and reporting

ACA helps hedge funds manage trading, investment, and emerging risks through a unified suite of services that blend people, processes, and technology, including:

• Execution oversight (transaction cost analysis and best execution reviews)
• Market abuse surveillance and insider trading detection
• Stress testing, scenario analysis, and regulatory risk reporting
• Trade and transaction reporting services (e.g., EMIR, MiFIR)
• Regulatory risk reporting support (e.g., Form PF, AIFMD Annex IV, CFTC filings)
• Cyber and ESG risk assessments aligned with global frameworks (e.g., SEC, NIST, DORA, FCA)
• Risk assessments and disclosure support to meet investor and regulatory expectations
• Investment performance analytics and reporting
• Real-time surveillance and automation via ComplianceAlpha^®

Yes. ACA tracks and interprets regulatory developments across key jurisdictions (e.g., SEC, CFTC, FCA, DFSA, FSRA), helping hedge funds stay compliant through:

• Interpreting and implementing updates (e.g., Form PF, SEC Marketing Rule, FCA ESG rules)
• Updating policies, procedures, and disclosures
• Conducting regulatory gap analyses and readiness assessments
• Supporting global filings and reporting obligations

ACA helps hedge funds build resilient cybersecurity and data protection programs aligned with global regulatory expectations. Our services support compliance with frameworks such as NIST, SEC, FCA, and the EU’s Digital Operational Resilience Act (DORA). We offer:

• Cyber risk assessments and penetration testing
• Vendor due diligence and third-party risk management
• Incident response planning and tabletop exercises
• Regulatory compliance support for cybersecurity frameworks and digital resilience regulations

ACA helps hedge funds meet investor and regulatory  ESG expectations through a comprehensive suite of advisory and reporting services. We support:

• ESG risk assessments and data insights to identify material risks and opportunities
• Disclosure and framework alignment with SFDR, TCFD, and other global standards
• ESG policy and procedure development tailored to firm strategy and regulatory obligations
• Reporting tools and marketing material reviews to ensure transparency and consistency
• Training and education to embed ESG into firm culture and operations

Absolutely. Yes. ACA provides end-to-end support for hedge funds launching new funds, entering new jurisdictions, or expanding their investment strategies. Our services include:

• Regulatory registration and authorization (e.g., SEC, FCA, MAS, DFSA, FSRA, SFC) as well as regulatory hosting
• Pre-launch compliance planning and go-to-market strategy
• Fund structuring and jurisdictional analysis
• Policy and procedure development tailored to new strategies or asset classes (e.g., private credit, long/short equity, quant strategies)
• Marketing and investor disclosure reviews to meet global regulatory standards
• Cross-border regulatory guidance for multi-jurisdictional operations
• Technology and infrastructure readiness (e.g., surveillance, reporting, workflow automation)
• Training and onboarding for new teams or business lines
• Ongoing compliance support post-launch to ensure operational readiness and regulatory alignment

As hedge funds evolve, from launch to global expansion, ACA provides scalable, end-to-end support that grows with your business. Our services are designed to meet the increasing complexity of operations, investor expectations, and regulatory scrutiny. We offer:

• Startup-friendly registration and authorization support, as well as regulatory hosting options
• Flexible delivery models—advisory or fully managed—for compliance, performance, cybersecurity, and ESG functions
• Scalable RegTech solutions via ComplianceAlpha^® for automation, surveillance, and reporting
• Cross-border regulatory guidance for entering new jurisdictions
• Investment performance services (e.g., GIPS^® compliance, IRR readiness, investor reporting) tailored to hedge fund needs—available as both advisory and a fully managed model
• Transaction cost analysis and best execution reviews to assess trading efficiency and ensure compliance with regulatory and fiduciary standards
• Cybersecurity and operational resilience programs aligned with global standards (e.g., SEC, NIST, DORA, FCA)
• for firms integrating responsible investing strategies, including policy development, risk assessments, and reporting
• Training and culture-building to support compliance maturity
• Ongoing regulatory change monitoring and program updates
• Support for fund launches, new strategies, and asset class diversification

ACA offers comprehensive training solutions to help hedge funds meet regulatory obligations and foster a culture of compliance. Our programs are tailored to the needs of firms regulated by authorities such as the SEC, CFTC, NFA, FINRA, FCA, and DFSA. We provide:

• Customizable eLearning and live training from former regulators and industry experts
• Annual compliance training programs aligned with global regulatory expectations
• Specialized modules covering:
  • Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF)
  • Market abuse and insider trading
  • Cybersecurity awareness and incident response
  • SEC Marketing Rule and advertising compliance
  • ESG and responsible investing
  • Code of ethics and personal trading
• Training needs assessments and benchmarking
• Tracking and reporting tools to demonstrate completion and effectiveness

ACA provides comprehensive support for firms regulated by the SEC, CFTC, NFA, FINRA, FCA, DFSA, and FSRA throughout the lifecycle of a regulatory exam or enforcement inquiry. Our services include:

• Pre-exam readiness assessments and mock regulatory exams
• Data gathering, document review, and response drafting
• Regulator communications and interview preparation
• Support during on-site or virtual inspections
• Strategic guidance on remediation and corrective actions
• Post-exam follow-up and implementation of regulator feedback
• Assistance with enforcement inquiries and legal coordination

Our global hedge fund specialists are ready to help. Contact us for a free strategy session to explore tailored solutions for your firm’s governance, risk, and compliance needs.