Adviser Compliance Consulting Inc. (ACC) is a compliance consulting firm that provides pro-active compliance solutions to registered investment advisers, hedge funds, private funds, investment companies, private equity and financial professionals, including outsource CCO service. ACC has extensive experience in the global asset management industry, which includes over twenty years in the Investment Company/Investment Adviser and international compliance area.
- Investment Adviser (Rule 206(4)-7), Investment Company (Rule 38a-1) and Private Fund Compliance Programs and Outsource CCO
- Investment Company Act of 1940 Requirements
- Anti-Money Laundering Programs for Investment Company, Investment Adviser and International Funds
- Policies and Procedures, Annual Reviews, Mock SEC Examinations, Risk Assessments and Compliance Training
- NFA registration of Commodity Pool Operator (CPO) and Commodity Trading Advisors (CTAs), NFA/CFTC compliance program development (including all required Written Supervisory Procedures/Compliance Manuals), compliance program maintenance, regulatory filings, annual reviews (completion of self- examination questionnaires), training of internal personnel regarding compliance requirements of CPOs/CTAs, Ethics Training required of Associated Persons of CPOs/CTAs, NFA audit preparation (mock audits) and audit assistance to CPOs and CTAs
- International Compliance Program and UCIT regulatory requirements – (UK, Luxembourg, Ireland and Hong Kong)
Assist with developing critical compliance documents and updating and/or submitting required securities and advisory representative filings:
- Developing Forms ADV Parts 2A and 2B
- Filing Form ADV Parts 1 & 2A
- Developing a Privacy Notice
- Updating and Filing Form U4
- Developing the code of ethics in accordance with Rule 204A-1 of the Investment Advisers Act
- Developing written policies and procedures in compliance with Rule 206(4)-7, other current regulatory requirements, as well as industry best practice
We promote open and consistent communication throughout the entire engagement by offering unlimited consulting. Consulting via phone calls, emails, and web conferencing is included in the fee for the duration of the engagement. We do not charge by the hour so that you will feel at ease to contact us at any time with any question that pertains to the scope of the engagement.