Solutions

DTCC/NSCC Fund Sponsorship ACA Foreside Streamlines NSCC Memberships ACA Foreside can apply for, obtain, and maintain a National Securities Clearing Corporation (NSCC) membership participant number for domestic mutual funds, collective trusts, and foreign funds such as Société d’investissement à Capital variable (SICAVs) and Undertakings for Collective Investment in Transferable Securities (UCITS). Additionally, we provide guidance […]

Focused Performance Review Independent Assurance for Investment Performance Reporting ACA provides independent assurance to reinforce trust in your investment performance reporting. Our highly customized scopes include comprehensive reviews of data, methodologies, records, controls, and disclosures, ensuring alignment with industry best practices and supporting accurate, transparent performance calculations. Build confidence in your performance reporting through expert

Navigate the Senior Managers & Certification Regime with Confidence Establish accountability, strengthen governance, and meet FCA expectations. The Senior Managers & Certification Regime (SM&CR) applies to all Financial Services and Markets Act (FSMA)-authorized firms and aims to strengthen market integrity by increasing individual accountability. It replaces the Approved Persons Regime and comprises three core components:

Tailored Cybersecurity Advisory Services for Long-Term Stability Prepare for today’s threats and stay ready for what’s next. Cybersecurity is your last line of defense against increasingly sophisticated threat actors and costly incidents. While most firms are aware of the risks that cyber incidents can present, many firms’ cyber programs fall short of addressing today’s rapidly

Cybersecurity Readiness to Navigate Complex Regulations Regulatory pressure demands cyber readiness. Cybersecurity, information security, and operational resilience are top priorities for regulators around the world, with expectations changing to keep pace with emerging technologies and cyber threats. Keeping pace with constant regulatory shifts makes compliance a complex challenge. While managed service providers and cybersecurity technology

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 Cyber Operational 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

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 Material Design, Production, and Compliance 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