"The job of the CCO is to protect the business, enhance the brand and manage reputational risk."

Carlo DiFlorio, SEC Director OCIE
CCO National Outreach Program, January 2010

ACS for Unregistered Hedge Fund Managers
Planning To Register

ACS Compliance Risk Management plays a key role in supporting hedge fund managers who are planning to register. Managers who are not yet registered with the SEC use ACS to establish and manage best-practice compliance policies and procedures that meet SEC requirements. ACS decreases both the cost and time to register and:

  • Facilitates the establishment and implementation of SEC-required policies
  • Provides best-practice review procedures and the ACS online regulatory resource library
  • Define roles and responsibilities for compliance operations
  • Organizes the firm’s compliance calendar
  • Reduces the compliance risks associated with errors of omission
  • Supports compliance education and training throughout the organization