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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Our solutions

We offer SEC, FINRA, CFTC and NFA, and state registration as well as FCA authorization support services. Or if you are launching a new investment management firm, or extending an existing venture, we also offer regulatory hosting through ACA Mirabella.

SEC Registration Support

SEC requires certain investment advisers to register with the SEC and to establish and maintain an adequate compliance program. Our team will assist your firm with the initial Form ADV filing, annual Form ADV amendments, and the set up and maintenance of an adequate and effective compliance program.

FINRA Registration Support

Broker-dealers are required to register with the FINRA and establish an adequate compliance program. We'll assist with the initial broker-dealer application filing, CRD training, and preparation of compliance and supervisory procedures. In addition, our team can assist existing broker-dealers with a Change in Membership (CMA) application with FINRA.

NFA Registration Support

If you're seeking CFTC registration and National Futures Association (NFA) membership our team includes former NFA examiners who can guide you through the relevant steps in the registration process and assist with the development and implementation of your commodity interest-related compliance program.

FCA Authorization Applications

If you require authorization project management to help you secure your regulatory licences - Part 4A Permission and/or AIFMD our experienced team can help. We’ve supported hundreds of firms through this process and provide support before, during and after the application, and can help you avoid unnecessary complications and delays. 

A London-based regional practice, providing RIAs and ERAs a unique offering of on-the-ground, comprehensive SEC compliance support. The specialist team has conducted more than 250 mock SEC examinations and compliance program reviews, and provided support to more than 100 financial services firms registered with a range of European regulators. Learn more

If you wish to submit a full FCA license or a third-country branch application, our Brexit team is on hand to help. We will draft the FCA application package, prepare for meetings with the regulator where required, and respond to FCA due diligence requests. 

For firms wishing to launch a new venture, we offer regulatory hosting through ACA Mirabella. This multi-award winning platform is the the industry’s preferred institutional-quality solution for regulatory incubation because of the strong oversight and controls the team brings to each organisation’s project. Mirabella enables firms to get up and running quickly by operating under its regulatory agency

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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

700+

SEC Registrations for Non-U.S. Based Firms

100+

FCA Authorizations

350+
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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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The Corporate Transparency Act: The Latest Iteration of Customer Due Diligence in the Financial Crime Toolkit

FinCEN issued the Corporate Transparency Act to create greater transparency into the beneficial owners of small companies.

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The SEC Targets Use of Predictive Data Analytics

Predictive data analytics can have a number of great uses in the financial industry. However, the SEC recently proposed rules to ensure advisers are not using it to harm investors.

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The CFTC Cracks Down on Recordkeeping Failures

The CFTC recently issued an order against an introducing broker and a futures commission merchant for violations of recordkeeping and supervision requirements. However, this is just one instance in the CFTC's crackdown.

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U.S. Regulatory Update – October 2023

The SEC's rulemaking and enforcement activity continues unabated. This issue also covers FINRA's remote inspections request, and NASAA's Reg BI report.

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ACA Group Launches New Solutions to Meet Full Scope of SEC’s Private Fund Adviser Rules

ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.

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2024 SEC Examination Priorities: Remember the Essentials While Adapting to Change

The theme of this year's exam priorities is while compliance teams race to adapt to new and evolving regulatory requirements, they should not lose sight of compliance fundamentals.

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ACA Launches ESG Portfolio Monitoring for Private Markets

Introducing ACA Vantage for ESG; a straightforward and comprehensive solution to track and analyze ESG data, and support PE, private credit, and leveraged loan portfolios.

ACA Foreside Celebrates Double Victory at 2023 ETF Express US Awards

ACA Group (ACA) is honored to be recognized by the exchange-traded fund (ETF) industry for two awards during the 2023 ETF Express U.S. Awards.

ACA Group Launches New Solutions to Meet Full Scope of SEC’s Private Fund Adviser Rules

ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.

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