Compliance, Risk, and Deal Diligence Services for Private Market Firms Worldwide

Private markets firms face complex regulatory, investor, and operational demands, and we can support them with:

• Preparation for SEC exams and mock audits.
• Compliance program development and ongoing advisory.
• Regulatory filings (e.g., Form ADV, Form PF, Blue Sky).
• Tailored support for SEC marketing rule and custody rule compliance.

Our regulatory technology streamlines compliance management across:

• Personal trading and code of ethics oversight.
• Review and approval of marketing materials. Testing and documentation workflows for compliance.
• Risk assessments and regulatory reporting.

Yes, we provide proactive regulatory updates, readiness assessments, and implementation support for emerging rules including changes to Form PF, cybersecurity risk management, and private fund adviser reforms.

We help private equity and venture firms strengthen cybersecurity programs, meet regulatory and investor expectations, and enhance performance through these services:

• Cyber risk assessments and penetration testing.
• Policy and program building.
• Third-party vendor due diligence.
• Incident response planning and tabletop exercises.
• Ongoing monitoring and regulatory readiness.

Yes, ACA helps private market firmsby combining deep advisory expertise with powerful, proprietary ESG data technology. ACA’s ESG services are designed to help firms navigate strategic, regulatory, and investor-driven challenges across the ESG lifecycle. These services include:

• ESG strategy and integration.
• Regulatory compliance support.
• ESG due diligence and investment screening.
• Data and ratings.

Absolutely, we help firms stay compliant during fund launches with services such as:

• Private placement memorandum (PPM) and marketing material review.
• AML and investor due diligence programs.
• Compliance documentation and registration support.

As firms expand into new strategies or geographies, we provide scalable support including global regulatory coverage, technology automation, and on-demand compliance resources. Contact us now for information on expanding your program.

For ESG-focused private market clients, we support the development and execution of oversight programs for portfolio companies, providing tailored tools and services to streamline the process including:

• Pre-investment risk assessments and scoring methodologies.
• Third-party diligence.
• Portfolio oversight across asset classes, including direct data collection, controversy monitoring, automated reporting, benchmarking, and custom dashboards with real-time monitoring to enable data quality improvement.

Our cybersecurity portfolio oversight platform, ACA Vantage, helps firms oversee their entire portfolio’s health to manage risks, enhance performance, and meet regulatory demands effectively. Our cyber experts and tools can also help:

• Build an oversight governance program.
• Support cyber decision-making across the portfolio by providing benchmarking and fund-level risk aggregation.
• Deliver continuous insights from portfolio-wide assessment insights and analytics to monitor and optimize cyber performance across your entire portfolio.
• Develop and test incident response and business continuity plans.

Yes, we offer outsourced compliance solutions, including fractional Chief Compliance Officer (CCO) services tailored to firms that need experienced guidance without hiring in-house.

We deliver interactive eLearning courses and tailored live training on topics such as SEC regulations, AML, cybersecurity, ethics, and ESG to help meet regulatory and investor expectations.

We support private markets firms with:

• Review of documentation and compliance programs for LP due diligence.
• ESG and cybersecurity assessments.
• Regulatory disclosures aligned with LP and co-investor expectations.

Yes, we help private markets firms operating across jurisdictions to manage global compliance obligations, such as Alternative Investment Fund Managers Directive (AIFMD), Sustainable Finance Disclosure Regulation (SFDR), GDPR, and cross-border marketing requirements.