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Home » Regulatory Compliance

Project Support

Additional regulatory projects

ACA Europe specialises in the FCA Part 4A and AIFMD application process as well as providing clients with professional ongoing compliance and regulatory support. We also undertake special regulatory projects as requested by our clients. In addition, we support the compliance function whilst their in-house resources are unavailable or are diverted to internal projects.

Services offered by ACA’s team:

  • Full management of the FCA application process (Part 4A Permission);
  • Full management of the AIFMD application process;
  • SEC/ERA and NFA registration;
  • Design and implementation of FCA and European regulatory controls (AIFMD, EMIR, MiFID, short selling, etc.);
  • Design and deliver the Internal Capital Adequacy Assessment Process (ICAAP) and other risk-based controls;
  • Temporary provision of compliance officer/department resources (see In-sourcing);
  • Mock FCA, SEC, or NFA/CFTC examinations (see Mock Examinations);
  • Assistance with Hedge Fund Standards Board ('HFSB') signatory process and subsequent 'comply or explain' regime;
  • Independent review of electronic communications (See Review of Electronic Communications);
  • Regulatory due diligence; and
  • AML and specialised compliance training.
Tags: 
compliance projects
SEC
FCA
HFSB

 

Regulatory Compliance

  • FCA Authorisation
  • SEC Registration and Support
  • CFTC Registration and Support
  • Ongoing Compliance Support
  • Project Support
  • Compliance In-Sourcing
  • Mock Examinations
  • Review of Electronic Communications
  • How ACA can help with AIFMD
  • How ACA can help with MiFID II

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