Our Investment Company Practice supports registered investment companies, as well as their advisers and sub-advisers, board of directors, and service providers to help them build, enhance and add controls to their compliance programs to meet Investment Company Act of 1940 requirements and SEC and industry standards.
We offer objective, innovative, and effective compliance reviews and solutions to prepare registered investment companies, as well as their boards, sponsors, advisers, sub-advisers, and service providers, for the rigors of SEC examinations. We provide solutions to assist firms with managing and mitigating related operational, regulatory, and reputational risks.
We provide solutions for the following types of firms.
We provide objective, innovative, and effective compliance reviews and solutions to assist business development companies, as well as their boards, sponsors, and service providers — with preparing for the rigors of an SEC examination.
We provide objective, innovative, and effective compliance reviews and solutions to assist exchange-traded funds with preparing for the rigors of an SEC examination.
We offer diverse compliance review and fund management compliance services, all scalable to individual client needs.
We help insurance companies and distributors understand and manage these complex compliance requirements and develop and implement the comprehensive, effective risk-based protocols necessary to meet regulators’ expectations.
Our fund management compliance team includes former regulators along with former along with former chief compliance officers and senior compliance managers from prominent financial institutions. Our team helps you to navigate the evolving regulatory landscape while considering the complexity of your firm’s unique compliance requirements.
Compliance solutions can include:
of the top 100 mutual funds (as noted in the Mutual Fund Directory March 2020 ranking data)
With the selection of Minnesota Governor Tim Walz as the 2024 Democratic Party candidate for Vice President of the United States, federal, state, and local rules on political contributions come into sharp focus.
We are committed to meeting the needs of our clients. This year, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry. Learn more about our team.
ACA Group Acquires Encore Compliance to Enhance Managed Services Capabilities with AI Technology. Acquisition enhances ACA’s technology solutions to support day-to-day compliance requirements and reduce risk
On July 15, 2024, FINRA published an updated SRO/Jurisdiction Registration Fee Schedule that included a new column indicating which self-regulatory organizations (“SROs”) and jurisdictions recognized Residential Supervisor Locations (“RSLs”).
An automated update released by CrowdStrike overnight had a technical issue that caused Windows devices receiving the update to crash.
Learn practical insights and actionable steps for U.S.-based firms contemplating building a presence in the UK or seeking to market to EU investors without a permanent presence.
We are pleased to announce that Robert Baker, JD, CFA has joined ACA Group, bringing nearly two decades of experience from the Examination and Enforcement Division at the SEC.
Acquisition strengthens ACA’s ability to support clients expanding into the UAE and broadens offering to UK firms .
ACA Expands Communication Channel Capture to Strengthen Compliance Oversight
Join ACA Aponix’s cybersecurity experts Greg Slayton and Aaron Pinnick for our annual discussion of some of the most interesting and impactful cybersecurity breaches and incidents that occurred in 2024.
We'll explain how the decision to outsource GRC services is no longer just a win for the Chief Compliance Officer – it offers a solution that can deliver substantial value across the entire C-suite and enterprise.