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 registration 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.

Our dedicated team can help you seek authorization and apply for your Part 4A Permission.

With experience of supporting hundreds of firms through the process, providing support before, during, and after the application, we 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. 

This 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.

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, our filing compliance solution services have 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

summer regulatory update

Bungled Family Account Aggregation Can Cause Compliance Aggravation for RIAs

Family account aggregation, commonly known as householding, can help clients to save money on their investment advisory fees.

Article
  • Compliance
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Q2 2022 Regulatory Reporting Deadlines

SEC, FCA, ESMA, FINRA, and CFTC/NFA regulatory filing submission deadlines occurring from April through June 2022.

Article
  • Compliance
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FINRA Reminder of Liability for Failing to Discharge Rule 3110

FINRA Regulatory Notice 22-10 reminds members of their liability if they fail to discharge Rule 3110 about designated supervisory responsibilities.

Compliance Alert
  • Compliance
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Family Offices: Both Fish and Fowl?

There is a nagging debate regarding the status of Family Offices that precedes the introduction of Regulation Best Interest.

Article
  • Compliance
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Checklist: How to Ensure Compliance with Financial Sanctions Obligations

Responding to the Russia-Ukraine conflict, the UK Government has imposed sanctions on Russia. FCA-regulated firms are obligated to implement systems and controls to prevent financial crime. With the authorities increasing their focus on financial sanctions, download our checklist to be sure you are considering key tasks.

Compliance Alert
  • Compliance
  • Cybersecurity
  • Managed Services
  • FCA
  • ComplianceAlpha
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SEC Division of Examinations 2022 Examination Priorities

On March 30, 2022, the U.S. Securities and Exchange Commission’s Division of Examinations released its FY2022 Examination Priorities. Read our insights.

Compliance Alert
  • Compliance

News

Financial Services Firms Lag in AI Governance and Compliance Readiness, Survey Reveals

The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.

ACA Named Best ETF Distributor for Consecutive Year at 2024 ETF Express US Awards

ACA Foreside has been awarded Best ETF Distributor at the 2024 ETF Express US Awards in New York City.

Former SEC Leader Robert Baker Joins ACA Group's Tech-Enabled Mock Examination Team

We are pleased to announce that Robert Baker, JD, CFA has joined ACA Group, bringing nearly two decades of experience from the Examination and Enforcement Division at the SEC.

Upcoming events

Beyond the CCO: Firmwide Benefits of Outsourcing GRC

We'll explain how the decision to outsource GRC services is no longer just a win for the Chief Compliance Officer – it offers a solution that can deliver substantial value across the entire C-suite and enterprise.

Webcast