ACA COMPLIANCE GROUP SERVICES
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ACA’s Investment Adviser Services Division provides advisers assurance through experience. ACA offers outsourcing and consulting services that help SEC or state-registered investment advisers streamline business and operational processes, comply with regulations, and improve overall quality of compliance.
To assist private fund managers as they strive to comply with federal securities laws, ACA’s Private Fund Services Division grants advisers peace of mind by conducting thorough mock SEC inspections and compliance program reviews. Our inspections and reviews analyze potential risk areas such as adherence to investment objectives described in offering documents, valuation of assets, review of marketing materials, solicitation activities, investor correspondence, and compliance with registration exemptions under the Securities Act of 1933 (including Regulation D), the Investment Advisers Act of 1940, and the Investment Company Act of 1940.
ACA’s Broker-Dealer Services Division provides broker-dealers with regulatory compliance expertise within tailored programs that ensure compliance with applicable FINRA and SEC rules. ACA will review a firm’s compliance program and develop written supervisory procedures to ensure that compliance practices meet FINRA and SEC standards. If compliance issues are identified, ACA will be available to assist your firm with the implementation of recommended corrective action.
ACA’s Investment Company Services Division assures compliance for investment companies.
Through ACA’s verification division, Beacon Verification Services, we can offer GIPS verification services to meet the demanding needs of our clients.
Variable Insurance Product Services
ACA's professionals assist life insurance companies and VIP distributors with the compliance complexities surrounding VIPs. ACA brings expertise to help management understand how to best develop adequate and effective risk-based protocols to meet regulatory requirements and expectations.