Consultants

Practice Highlights

ACA has worked with 25% of the largest private fund managers.
ACA has extensive practice developing compliance policies and procedures for private fund managers.
ACA has registered numerous private fund managers as investment advisers with the SEC and/or state regulator agencies.
ACA is an active member and supporter of Hedge Fund Cares.
ACA consultants regularly speak at private fund conferences.
ACA has conducted annual compliance reviews for some of the largest hedge fund managers in the US.

PRIVATE FUND SERVICES

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 assures compliance for hedge fund managers and private equity firms by providing:

Regulatory Risk Reviews

Mock SEC Exams
Forensic Testing of Compliance Processes
Specialized Compliance Reviews

Additional Consulting Services

Policy and Procedure Development
On-Site SEC Inspection Support
On-going Review of Employee and Proprietary Trading
Regulatory Body-Mandated Independent Compliance
Consulting Services
Compliance Training
Advertising and Sales Literature Review

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 private fund managers 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.