We welcome the opportunity to speak with you. If you are interested in a customized proposal, please contact us at (617)589-0904 or email Michael Clisham, Vice President.

Consultants

Practice Highlights

  • 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