ACA Group Boosts UK-based SEC Consulting Team

Author

ACA Group

Publish Date

Type

Press Release

Topics

  • Compliance
  • SEC
  • London

ACA Group (ACA) today announced that Martin Fawzy has joined ACA’s London-based team of consultants, dedicated to providing regional U.S. Securities and Exchange Commission (SEC) regulatory support to hedge funds, private equity and diversified financial services firms domiciled outside of the U.S.

The move is particularly important to the industry as it follows the lifting of a two-year long moratorium on UK firms applying for SEC registration. In 2018, the SEC froze applications from European Union-based firms, due to concerns that the General Data Protection Regulation (GDPR) prevented registered investment advisers from providing certain books and records to the SEC for inspection. 

ACA’s dedicated London-based SEC 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. Services include SEC registration and compliance programme development, annual compliance review, mock SEC exam, SEC exam preparation, consultancy on marketing into the U.S., guidance on private placements and raising capital under SEC Regulation D, as well as ongoing compliance training and educational support.

Martin Fawzy, Principal Consultant, ACA Group, said: “I’m excited to join ACA’s UK-based SEC team supporting European-based investment managers and advisers doing business in the U.S. and attracting U.S. investors. Our practice provides 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.

“And importantly, as we are supported by a strong ACA team of over 600 individuals, which includes more than 90 former regulators and hundreds of compliance, risk, regulatory hosting, ESG, performance, CFTC/NFA, Investment Company, bank regulation, and regulatory technology specialists, we can offer firms a holistic service that helps them reimagine their governance, risk, and compliance.”

Martin joined ACA’s San Francisco office in October 2018 bringing more than 20 years of investment adviser compliance experience. He has experience designing, managing, and supporting the compliance programs of advisers to hedge funds, real estate funds, private equity funds, venture capital funds, mutual fund companies, wrap accounts, and separate accounts.

Before ACA, Martin held several CCO and senior compliance officer roles at SEC registered firms, including Symphony Asset Management LLC, Fuller & Thaler Asset Management Inc, SEI Investments and Nuveen Investments, Inc. He also previously worked at a regulatory compliance consulting firm, where his client base included exempt reporting advisers and advisers specializing in cryptocurrency, retail investor strategies, equity, debt and currency portfolios. In addition, Martin acted as internal auditor for major U.S. banks where he reviewed trust operations, lending, collateralized obligations, investment advisers, trading desks and trading operations.

Martin will be joining Crystal Christian, Senior Principal Consultant, and Kira Karabatak, Consultant. Crystal joined ACA’s London-based SEC team in 2016, and Kira joined the team in 2019. Both Crystal and Kira worked with investment advisers in the U.S. prior to moving to the UK and have assisted numerous clients with SEC registrations, SEC examinations, and development and maintenance of their SEC compliance programs.

Martin, Crystal and Kira can be contacted at: [email protected]

For more information

ACA Group – U.S.
Krissy Kennedy, Managing Director of Marketing
[email protected]  | +1 (857) 214-1740

ACA Group - Europe
Gobnait Will, Senior Marketing Manager
[email protected] |  +44 (0)7825 943522

About ACA Group

ACA Group (“ACA”) is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

For more information, visit www.acaglobal.com.