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

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

EXAMS Observations Related to Regulation NMS Rule 606 Disclosures
The risk alert outlines observations made during SEC examinations of Rule 606(a) disclosures since the first quarter of 2020, noting issues with firms' material aspects disclosures.
- Compliance

How Will the Economic Downturn Impact Compliance Teams?
We examine how 2022's economic downturn impacted compliance companies, and explore how changing market conditions can create opportunities for new efficiencies.
- Compliance
- Managed Services

U.S. Regulatory Update – January 2023 Edition
We discuss the latest Risk Alert from the SEC’s Division of Examinations, the DOL’s change of heart on ESG for plan investments, and the SEC’s rule proposals to change the equity markets.
- Compliance
- ESG

Why Building and Maintaining Robust Compliance Programs Has Become Increasingly Important for ERAs
As fiduciaries become increasingly subject to SEC inspection, ERAs should consider adopting compliance policies and procedures relevant to their operations to mitigate regulatory risks.
- Compliance
- SEC

Updated FAQ About the SEC Marketing Rule Performance Requirements
The SEC released an updated FAQ on January 11, 2023 clarifying requirements around gross and net performance obligations for one investment or a group of investments (i.e., extracted performance).
- Compliance
- Performance
- SEC Marketing Rule
- SEC

Q1 2023 Regulatory Reporting Deadlines
Investment advisers must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from January through March 2023.
- Regulatory Deadlines
- Compliance
News
ACA Group Selected as a RegTech100 Company for 2023
We are delighted to be named one the 100 most innovative RegTech companies in the financial industry by FinTech Global and RegTech Analyst for the 5th time!
ACA Group Acquires Advanced Regulatory Compliance
Acquisition continues to reinforce ACA’s suite of leading GRC professionals and diversified services
ACA’s ESG Data and Analytics Solution Recognized for Its Impact on ESG Portfolios
Financial Services Review has named ACA Group’s ESG Data and Analytics solution, Ethos ESG, a “Top Wealth Management Solutions Provider” for 2022.