Consultants

Practice Highlights

ACA conducts more than 100 mock SEC audits and annual compliance program reviews annually.
ACA has successfully coordinated and participated in dozens of SEC inspections for advisory clients.
ACA consultants are frequently invited by leading brokerage firms and custodians to speak on compliance matters for their investment adviser clients.
ACA has registered several hundred clients as investment advisers with the SEC and/or state regulatory agencies.
ACA consultants are regularly quoted in major compliance publications.

INVESTMENT ADVISER SERVICES

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.

ACA assures compliance for investment advisers by providing:

Regulatory Risk Reviews

Compliance Program Reviews
Mock SEC Exams
Anti-Money Laundering Reviews
Forensic Testing of Compliance Processes
Performance Reviews
Mock State Exams
Best Execution Reviews & Analyses
Specialized Compliance Reviews

Additional Consulting Services

Policy and Procedure Development
SEC Inspection Support
Compliance Training
Expert Witness Work
On-going Review of Employee and Proprietary Trading
Regulatory-Mandated Consulting
Compliance Training
Advertising and Sales Literature Review
Filing of 13F & 13G

Registration Services

SEC Registration
State Registration
Registrations of Reps
IARD Administration

ACA offers several compliance solutions, and each solution provides a high level of service to advisers with varying compliance needs. We welcome the opportunity to speak with you. If you are interested in a customized proposal, please contact (973) 631-1085 or email us at info@acacompliancegroup.com.