Registration, Authorization, and Initial Filing Services
The registration or application process can seem lengthy, overwhelming, and daunting. Whether you seek authorization for the first time or are an established regulated firm looking to move into a new line of business, we can help you avoid unnecessary complications and delays.
Our team will simplify the process by assisting with your initial application or filing, supporting the set-up and implementation of your compliance program, and providing ongoing support.
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Who we've helped
With a client base of over 3,500 firms, we've successfully assisted thousands of firms through the registration and authorization process.
SEC Registrations for U.S. Firms
SEC Registrations for Non-U.S. Based Firms
FCA Authorizations
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Why work with us?
Our team includes former SEC, FINRA, FCA, NFA, CFTC, OCC, and state regulators along with former along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions. We offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value.
With ACA, you can feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to support you through every step of the process.
Latest insights
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FINRA’s Latest Fee Schedule and Form BR Filing Updates for RSLs
On July 15, 2024, FINRA published an updated SRO/Jurisdiction Registration Fee Schedule that included a new column indicating which self-regulatory organizations (“SROs”) and jurisdictions recognized Residential Supervisor Locations (“RSLs”).
- Compliance
- FINRA
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CrowdStrike Outage and Options for Remediation
An automated update released by CrowdStrike overnight had a technical issue that caused Windows devices receiving the update to crash.
- Cybersecurity
- Compliance
![London from above](/sites/default/files/styles/width_280/public/2021-02/london%20serial%20720x570.jpg.webp?itok=99LAl157)
Charting your European Expansion: Exploring Pathways to New Markets
Learn practical insights and actionable steps for U.S.-based firms contemplating building a presence in the UK or seeking to market to EU investors without a permanent presence.
- Compliance
- FCA
- Mirabella
![SEC building](/sites/default/files/styles/width_280/public/2023-02/sec_building_0.jpg.webp?itok=ifgF-y7_)
SEC Exam Sweep of T+1
We have reason to believe the SEC has begun its targeted examinations of investment advisers to assess their compliance with the T+1 transition.
- Compliance
- SEC
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Advisers’ Concerns of Off-Channel Communications Surpasses the Marketing Rule as Top Compliance Concern, Survey Reveals
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey.
- ACA News
- Compliance
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Navigating the Future of Data Governance: Insights from ACA on Nasdaq TradeTalks
Carlo di Florio, Global Advisory Leader at ACA Group, recently joined a panel for Nasdaq TradeTalks to share his expertise on the critical role of data governance in the financial services industry.
- Artificial Intelligence (AI)
- Compliance
- Cybersecurity
News
Advisers’ Concerns of Off-Channel Communications Surpasses the Marketing Rule as Top Compliance Concern, Survey Reveals
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey.
ACA Group Named Most Preferred Workplace by Marksmen/India Today 2024-2025
ACA Honored with Marksmen/India Today Award for Most Preferred Workplace for 2024-2025
Apex Group and ACA Form Strategic Partnership to Enhance Client Experience
Apex Group and ACA form strategic partnership to enhance client experience. The alliance enables clients to seamlessly identify a reputable service provider that will help support and protect their business.