Registered Product Compliance and Distribution
Since our launch in 2005, we have been working with asset management firms throughout the world to facilitate compliance and product distribution through legal underwriting, registered rep licensing and chaperoning, and DTCC/NSCC fund sponsorship. We have experience working with all types of pooled investment vehicles such as traditional mutual funds, ETFs, alternative products, closed-end interval funds, and private placements.
ACA Foreside has helped over 400 firms and 1,600 funds to launch new funds or convert existing funds.
- Are you looking to launch a 40-act vehicle?
- Do you need assistance registering your reps for private funds or 40-Act products?
- Are you a private fund and would like to launch a hybrid vehicle such as an interval fund?
- Do you have wholesalers and need support with your FINRA licenses such as email review, marketing material review and supervision?
- Are you just exploring what it would cost to create a mutual fund, ETF or interval fund and what the ongoing and breakeven costs are?
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Our Distribution Solutions
We offer 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.
ACA Foreside can sponsor (apply for, obtain, and maintain) an NSCC membership participant number for domestic funds, collective trusts, and foreign funds. Additionally, we can provide guidance to clients and their transfer agents with respect to administration, implementation, and maintenance of funds’ operational policies and procedures.
Our experienced professionals stand ready to advise you regarding the regulatory, financial, operational and distribution requirements of your exchange-traded funds (ETFs). We closely follow the expanding U.S. and international ETF marketplaces and the rapid product innovation in the market today.
ACA Foreside is well-versed in the design, creation, and production of fund fact sheets and fund marketing materials. We offer custom fact sheet solutions aimed to deliver creative, informative, and compliant fund marketing materials, while decreasing errors with the use of data integration technology.
Our Fund Officer model provides a hands-on, tailored approach by placing experienced and independent Fund Officers close to the Fund’s Board of Trustees. They are exposed to multiple administrators, counsel, and advisors, and have valuable industry perspective allowing for a better understanding of best practices.
We distribute over $1 trillion of product for over 200 fund families through our broker-dealers and serve as the legal underwriter for registered funds (mutual funds, closed-end funds, and ETFs) and placement agent for private funds.
Maximize your firm’s time and efficiency with our technology-powered managed services.
We can maintain a private-label broker-dealer on behalf of your firm, allowing you to focus on your core business. Our private label broker-dealer offering provides an opportunity for firms to have ACA Foreside own and manage a broker-dealer branded by you and dedicated solely to you as the client.
ACA Foreside can assist with all aspects of your FINRA licensing needs for both registered and private funds.
Build a more scalable and resilient compliance program with our ComplianceAlpha® regulatory technology software platform backed by managed services support.
Why work with ACA Foreside?
ACA Foreside can support products in either a standalone fund model or a Series Trust and will work with your firm to establish NSCC connectivity and dealer agreements, review Marketing Materials for registered reps, provide fund officers, design and produce factsheets, and provide a 38a-1 compliance program, as well as consult with you to design an effective distribution strategy for your product.
The ACA Advantage
We provide our clients the most innovative offerings that help drive their business forward.
We apply best-in-class technology to address today’s regulatory reality and drive operational efficiency.