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.
Specialties Include:
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)
