Investment Adviser Services

Investment advisers know as well if not better than most that compliance is complicated. Their clients rely on them to manage and protect investments, and part of that responsibility is ensuring they have a sound compliance infrastructure.

ACA’s experts conduct more than 100 compliance program reviews for investment advisers every year. They also coordinate and participate in dozens of SEC inspections. Our client list now numbers in the hundreds. For each of these firms, we assessed their particular circumstances and customized their compliance policies and procedures to create an effective, precisely tailored compliance solution.

The investment adviser services offered by ACA include,
among others,

• compliance program reviews,
• policy and procedure development,
• compliance training,
• 13F and 13G report filing,
• forensic compliance process testing,
• advertising and sales literature reviews,
• ongoing employee and proprietary trading reviews, and
• registration.

To request more information on ACA’s investment adviser services or a personalized proposal for assistance with compliance needs, please follow this link or call Damon Zappacosta at 212.868.5940.