Popular Compliance Solutions for Fund Managers
Comprehensive Compliance Program Assistance
ACA designed its C3 Solution® to assist private fund managers with ongoing compliance program management. In fact, the support provided by our C3 services relieves these managers of the majority of compliance-related tasks, including the performance of annual compliance program reviews, the development and maintenance of compliance policies and procedures, and the review of marketing materials and drafting of appropriate disclosures. The services also include support during SEC onsite examinations and help with designing and conducting compliance training.
Risk Assessment and Gap Analysis
ACA conducts risk assessments and gap analyses for private fund managers in support of their initial compliance program implementation. The implementation process comprises four phases: (i) conducting a gap analysis, (ii) drafting compliance policies and procedures, (iii) developing an ongoing testing program, and (iv) assisting with the compliance program’s initial implementation.
Private Fund Best Practices Gap Analysis
ACA offers an independent gap analysis of a private fund manager’s compliance relative to industry best practices.