Solutions

Legal Underwriting Solutions Expertise That Powers Confident Distribution At ACA Foreside, we provide comprehensive legal underwriting solutions that support the compliant distribution of registered and private funds. From reviewing and filing marketing materials with FINRA to managing selling agreements, administering 12b-1 fees, and sponsoring National Securities Clearing Corporation (NSCC) membership, our services are built to […]

U.S. Compliance Program – Development and Enhancement Services Your partner in navigating the changing risk and compliance environment. The regulatory landscape is constantly evolving. With new rules and regulations being proposed and adopted, it’s essential that your compliance program evolves with them. Concerned about whether your compliance program is up to date? ACA’s Compliance Advisory

Build Resilience and Protect Business Continuity Prepare for the unexpected and recover with confidence. Cyber incidents are becoming more frequent and complex, putting business continuity and firm stability at risk. Many organizations have plans in place, but gaps in preparation can delay recovery and lead to costly disruptions.  ACA helps firms strengthen business continuity and

Navigate SEC Marketing Rule Compliance with Confidence Expert support for advertising, performance, and disclosure requirements. The SEC’s modernized Marketing Rule has reshaped how investment advisers communicate with clients and prospects, increasing the complexity and importance of compliance. ACA’s SEC Marketing Rule compliance solutions provide tailored, third-party support to help your firm validate disclosures, align performance

Marketing Design and Production Services Creative, compliant, and custom marketing solutions for your brand. At ACA Foreside, our marketing production team specializes in the design, development, and delivery of high-quality marketing materials tailored to your firm’s brand identity and compliance requirements. Whether your firm requires fact sheets, investor presentations, pitch decks, a full rebrand, or

Smarter Vendor Due Diligence Faster, deeper insight into hidden third-party risks. Regulators are raising the bar. With expectations under Regulation SP, DORA, and others intensifying, financial services firms must demonstrate rigorous, ongoing oversight of their third-party vendors. Traditional vendor due diligence is slow, manual, and no match for today’s fast-moving risk landscape, especially as vendors adopt

GIPS Compliance Solutions Simplify compliance processes and amplify regulatory readiness. Compliance with Global Investment Performance Standards (GIPS^®) is a hallmark of transparency and consistency in investment performance reporting. It enhances credibility, supports fundraising, and is often required for institutional mandates. However, managing this compliance can be complex and resource-intensive. ACA’s GIPS Compliance Solutions empower firms

Fund Compliance Officer Services Independent Insight, Integrated Support ACA’s Fund Officer model delivers a hands-on, customized program by engaging experienced, independent professionals alongside the Fund’s Board of Trustees. Our Fund Compliance Officers work closely with multiple administrators, legal counsel, audit firms, and advisers, gaining broad industry exposure and insights that enhance their understanding of best

FCA Authorization and Compliance Support Streamlined FCA authorization with expert guidance. Whether you’re launching a new financial services firm or expanding into regulated activities, obtaining authorization from the Financial Conduct Authority (FCA) is a critical step. Our dedicated team helps you navigate the complex FCA application process, minimizing delays and avoiding common pitfalls, to ensure

Global Registration and Authorization Services Simplifying regulatory registration across the U.S., UK, and UAE. The regulatory registration and application process can be complex and time-consuming. Whether you’re launching a new investment firm, expanding into a new business line, or seeking authorization with a new regulator, we provide the expertise and structure to guide you through