ACA Highlights
- ACA provides compliance consulting services to more than 500 clients.
- ACA has worked with approximately one-quarter (25%) of the world’s largest 100 hedge fund managers.
- ACA edits and publishes a weekly investment management compliance newsletter, IM Insight (For more information on IM Insight see http://www.iminsightnews.com).
- ACA maintains an E-Library of compliance webcasts and documents, and runs E-Coffeehouse, an exclusive web-based investment adviser compliance chatroom.
SEC & FINRA COMPLIANCE SERVICES
Predominantly staffed with former SEC inspectors, ACA provides regulatory consulting services to a wide array of broker dealers, investment advisers, private funds, and mutual fund complexes nationwide.
Among other services, ACA conducts mock SEC inspections; analyzes its clients’ trading practices; evaluates employees’ personal securities transactions; interacts with the SEC, state and other regulators during compliance examinations; and assists its clients with the preparation and maintenance of Form ADV.
To learn more about ACA’s compliance services click on www.acacompliancegroup.com or call us for a no-obligation consultation at (973) 631-1085.
“As a regulator, I often see the difference a skilled compliance practitioner can make. We are always delighted when we deal with a competent professional. We would much rather work with someone who understands the field.”
- John Walsh, Chief Counsel
SEC’s Office of Compliance Inspections and Examinations