We welcome the opportunity to speak with you. If you are interested in a customized proposal, please contact us at (973)631-1085 or email Jeff Morton, Partner
ACA has performed several full scope 38a-1 and Policies and Procedures Assessment reviews for large fund complexes with internal and external service providers.
ACA has conducted detailed focus area reviews including fund governance, valuation, processing of fund shares, identification of affiliates, cross trade procedures, record retention and required filings.
ACA successfully reviewed a transfer agency and insurance company variable product, with an emphasis on controls and procedures for processing of shareholder/customer transactions, safeguarding of customer assets and forensic testing of transactions.
INVESTMENT COMPANY SERVICES
ACA’s Investment Company Services Division assures compliance for investment companies by providing:
Regulatory Risk Reviews
Mock SEC IC Exams
38a-1 Policy & Procedures Reviews
Sub-Adviser Due Diligence Reviews
Anti-Money Laundering Reviews
Customized Forensic Testing of Compliance Processes
Customized Compliance Reviews
Additional Consulting Services
Policy and Procedure Development
On Site SEC Inspection Support
Compliance Training
Expert Witness Testimony
Regulatory Body-Mandated Consulting
Compliance Training
Advertising and Sales Literature Reviews
Outsourced “Internal Audit” Functions and Reviews
State and SEC Regulatory Mandated Independent Compliance Consultant Services