ACA Foreside offers broker-dealer chaperoning services to non-U.S. asset managers and broker-dealers that seek to market private funds in the United States without registering as a U.S. broker-dealer.
Our services include:
- Provide an authorized registered representative to chaperone visits to U.S. Institutional Investors “USIIs” and Major U.S. Institutional Inventors “MUSIIs,” as required
- Support personnel marketing funds to USIIs and MUSIIs
- Oversee the suitability assessment process concerning fund recommendations made to USIIs and MUSIIs
- Conduct due diligence on the funds to be marketed
- Review and approve all marketing material prepared for USIIs and MUSIIs
- Maintain all books and records required under SEC Rule 15a-6