GRC Solutions for Digital Asset Managers

The growth of the digital asset space in recent years has naturally led to the advent of “cryptocurrency hedge funds” and other investment management firms that make digital asset investments on behalf of their clients. As a result, digital assets including cryptocurrencies, initial coin offerings, and other blockchain focused assets continue to be a focus area for the U.S. Securities and Exchange Commission (SEC) and other regulators. 

Our solutions are specifically designed to help firms align their advisory processes with regulatory requirements and the expectations of the SEC and the U.S. Commodity Futures Trading Commission (CFTC).

Bitcoin and other cryptocurrencies have brought new thinking to payments and financial inclusion, but they’ve also raised new issues of investor protection. If confirmed at the SEC, I will work to promote innovation.

Gary Gensler, SEC Chairman Nominee

Our solutions

We provide customized compliance solutions for advisers dedicated to managing digital assets, including cryptocurrencies, initial coin offerings, and other blockchain focused assets.

Regulatory Registration and Compliance Program Development

ACA assists with:

  • Preparing and filing Form ADV
  • CFTC registration and NFA membership
  • Developing customized compliance policies and procedures
  • Developing compliance infrastructure
  • Implementing customized compliance programs
Registration Filings Support

We provide:

  • Form ADV reviews
  • IARD filings with appropriate state and federal regulators
  • Private Fund Reporting Depository administration services
  • Form PF reasonableness review
  • NFA Online Registration System ("ORS") assistance
Additional Offerings
  • Policy and procedure development
  • SEC inspection support services
  • Marketing and advertising reviews
  • Secondment and compliance staffing solutions, from single day to long-term secondments
  • On- and off-site assistance with periodic and ongoing compliance tasks and activities
  • Focused performance reviews
  • Regulatory Reporting Platform
  • Cybersecurity and technology risk assessments
  • Trade surveillance
  • Education and training
     

Build a scalable and resilient compliance program with our regulatory technology software platform backed by managed services support.

Maximize your firm’s time and efficiency with our technology-powered managed services.

Build cyber and operational resilience across your firm with our team of cybersecurity and technology risk experts.

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News

Russell Investments Selects ACA Group’s ComplianceAlpha to Modernize Their Risk and Compliance Program from a Single Platform

Russell Invesments has selected ACA's ComplianceAlpha® to help modernize and streamline their compliance program.

We Are Now ACA Group

This week, ACA Compliance Group made the move to ACA Group, better known to our clients and industry partners as ACA.

Five Reasons to Attend ACA Regulatory Horizon 2021 | Navigating Evolving Risks

There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.

Upcoming events

Compliance Induction - 14 April 2021

This course is designed to assist Senior Management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm.

Online Training

Money Laundering Reporting Officer: The Role and Responsibilities - 12 May 2021

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

Online Training

Compliance Officer: The Role and Responsibilities - 13 May 2021

The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.

Online Training