ACA offers a complete range of compliance consulting services for investment companies. For example, we have conducted full scope 38a-1 and policy and procedure assessment reviews for large fund complexes with internal and external service providers. We also perform detailed reviews in areas such as fund governance, valuation, fund share processing, affiliate identification, cross-trade procedures, record retention, and required filings. In addition, we assist investment firms by conducting regulatory risk reviews, offering hands-on guidance for policy and procedure development and training, and providing support during SEC inspections.
To request more information on ACA’s investment company services or a personalized proposal for assistance with compliance needs, please follow this link or call Nick Prokos at 973.631.1085.