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ACA is recognised as the world’s leading SEC compliance advisory firm. Over a third of our consulting team members are former US federal and state regulators. To our knowledge, ACA Europe is the only London-based regulatory compliance firm with former SEC, FCA and FSA examiners on its local staff.
In response to the changes in the SEC’s registration requirements resulting from the US Dodd-Frank legislation and the attendant consequences for European-based asset managers, ACA relocated a Managing Director (and former SEC examiner) as well as an experienced consultant to London to lead our London-based US regulatory practice. Our London-based team is fully supported by ACA’s US- based bench of technical expertise in US federal securities laws. This depth of expertise combined with our ability to staff locally has made ACA the chosen provider for managing a wide range of SEC projects of varying scale and complexity throughout the UK and Europe for some of the largest global asset management firms.
In addition to managing SEC registrations (both full and Exempt Reporting Advisor), each year ACA conducts hundreds of mock SEC examinations, policy and procedure gap analyses, and Rule 206(4)-7 compliance reviews, a number of which take place in Europe.
ACA also assists firms with:
SEC registration and the ensuing compliance requirements are uncharted territory for many non-US domiciled managers. Our expertise can help you successfully navigate that territory.
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ACA Performance Services, LLC, ACA Technology, LLC, ACA Risk Strategies, LLC, and ACA Technology Surveillance, Inc. All rights reserved.