Welcome to the culmination of our seven-part series on Building a Gold Standard Compliance Program. In Session 7, we turn our attention to the ongoing challenge of updating and maintaining your compliance program to meet new and evolving business demands.
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.
CONNECT WITH US
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 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.
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.
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.
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
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
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.
This update includes tips for a stellar compliance program review, the download on the recent banking sector volatility, a reminder about Form BE-12 filing obligations, and more.
The SEC proposed to amend the order competition requirements of the National Market System, which would promote competition and protect individual investors.
SM&CR is being assessed by the FCA, PRA, and HM Treasury and invites stakeholder views on areas of potential change, specifically the effectiveness, scope, and proportionality of SM&CR and "other improvements" to SM&CR.
To receive prohibited compensation, investment advisers and broker-dealers must comply with DOL's PTE 2020-02, including impartial conduct standards, required disclosures, policies, and an annual review.
The SEC will investigate advisers' use of electronic communication platforms. Advisors should review policies, poll employees, test email domains, and train staff to avoid penalties.
- eComms Surveillance
The SEC proposed various rule amendments to Regulation NMS to adopt variable minimum pricing increments, reduce access fee caps, and enhance the transparency of better-priced orders.
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 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 released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.