SEC Private Fund Adviser Rules Solutions

Regulatory change is here for Private Fund Advisers. Our unique blend of regulatory advisory, investment performance, and technology services, provides an end-to-end solution to help firms holistically address all elements of the new rules.

The U.S. Securities and Exchange Commission (SEC) has now finalized a number of new rules as well as amendments to Rules 204-2 and 206(4)-7 under the Investment Advisers Act of 1940 (the Advisers Act), collectively known as the Private Fund Adviser Rules (IA-5955). Representing a monumental shift in industry regulations akin to the Dodd-Frank Act, these rules impact both SEC-registered and unregistered private fund managers.

The clock is now ticking for private fund managers to comply.

Our tailored solutions will help you to stay ahead of the curve and ensure that your firm is not just compliant but also well-prepared for future regulatory developments.



Our solutions

The new rules place a hefty, time-pressured burden on private fund managers to decipher the language and determine next steps for compliance. ACA’s solutions are designed to help firms address the costly operational and compliance challenges created by the new rules.

Turn to our people, processes, and technology to help simplify this task and gain peace of mind.

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The new rules require a thorough evaluation of your firm's compliance program and investor reporting.

Our tailored gap analysis provides a detailed evaluation of your firm’s existing framework against the new rules’ requirements to identify areas of concern that require attention. This assessment helps you to anticipate, understand, and align with the new requirements while mitigating the risks associated with non-compliance.

regulatory technology

There are significant requirements centered around the creation and distribution of quarterly statements.

Our quarterly statements solutions provide technology-enabled report preparation, as well as calculation and presentation frameworks, available at three levels of scalable support. Ranging from an in-depth review and analysis to a fully outsourced solution, this helps you to tackle the complicated reporting and calculation process now required.

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To comply with the new regulations, you must consider how each of the rules’ requirements apply to your existing compliance programs. Adoption and implementation of amendments to your compliance program is necessary for full compliance.

ACA Signature provides scalable advisory solutions to assist you with rule interpretation as well as modification and implementation of your compliance program and can be paired with innovative regulatory technology and managed services.

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SEC Private Fund Adviser Rules Resource Library

ACA has created an in-depth webcast series and curated a collection of helpful resources covering all aspects of the Private Fund Adviser Rules. These resources uncover what the rules mean for firms and provide actionable steps to prepare for pending compliance dates.

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Partner with ACA for Peace of Mind

For over 20 years, private fund advisers and alternative investment firms have partnered with and trusted ACA for their compliance concerns and challenges. Our unique blend of regulatory compliance insight and performance expertise means that we can help your firm adapt to all aspects of these new rules, while considering the complexity of your firm’s unique compliance requirements.

Additional solutions for private fund advisers

With increased regulatory scrutiny it’s never been more important for private fund managers to ensure their understanding of news regulations and prepare for full compliance. We can help lighten the load.

Form PF - Section 5 Gap Analysis

Review operational procedures and processes around event-driven reporting requirements. 

Assess the adequacy and effectiveness of your compliance program and deliver a written report that details findings and recommendations for remediation. 

Achieve enhanced efficiencies with our RegTech platform, ACA ComplianceAlpha®, with solutions that can help you to: perform annual reviews, monitor & analyze risk, implement efficient document management, track legal documentation, and more.

Reduce risk and maximize your firm’s time and efficiency with our technology-powered managed services.

Reveal your cyber vulnerabilities and protect your investments.  

A comprehensive range of investment-performance solutions and GIPS® verification services. 

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