Compliance Support

ACA Services: Project Support

Additional regulatory projects.

At ACA, we don’t pretend to be all things to all people. In London, we specialise in the FCA Part 4A and AIFMD application process as well as providing clients with professional on-going compliance and regulatory support.

However, over many years as compliance consultants we have frequently been asked to undertake regulatory projects for our clients. Occasionally our clients require us to undertake a project on their behalf and sometimes we’re asked to maintain the compliance function at their company whilst their in-house resources are diverted to such projects.

Projects managed 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 HFSB signatory process and subsequent 'comply or explain' regime;
  • Independent audit of e-mail, IM and text communications (See Review of Electronic Communications)
  • Regulatory due diligence; and
  • AML and specialised compliance training.


We agree the project, time-line and costs...you get the results.

 

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