ACA Services: SEC Registration and Support.

ACA is recognised to be the world’s leading SEC compliance consultancy. Of our team of 120 professionals, more than a third are former SEC staff members. This expertise and model is driven from the top, with six of our Partners being former SEC examiners.

In response to the requirements under the Dodd Frank legislation, we relocated Kristina Staples from our Washington office to London to lead our registration and support programme. Kristina is a former securities regulator with the State of Washington and an attorney-advisor in the SEC’s Office of Compliance Inspections and Examinations in Washington.

Our London-based expertise is fully supported by ACA’s dedicated ‘Form ADV’ administration team and the wider consulting team here and in the US. As a result of our ability to staff a project with this depth of expertise, ACA manages SEC projects of varying scale and complexity throughout the UK.

Alongside registering firms (full and Exempt Reporting Advisor); every year ACA conducts hundreds of mock SEC examination projects, policy and procedure gap analysis and independent 206(4)-7 compliance reviews. We also help firms establish their SEC compliance programme, prepare for inspection and provide general regulatory support.

SEC registration and the subsequent compliance requirements are potentially a new area for many non-US hedge and PE managers and our expertise can professionally guide you through the requirements.

Managing money? – SEC Registration Requirements.