FacultyFaculty/Author Profile

Nicholas Prokos

ACA Compliance Group
Boca Raton, FL, USA

Nick Prokos joined ACA in 2002 to enhance the firm's investment company, hedge fund and anti-money laundering compliance consulting services. As a Partner of ACA, Nick leads the firm's Investment Company Services division and performs a variety of independent regulatory compliance engagements and risk control reviews with many mutual fund complexes, insurance companies and fund service providers including transfer agents and mutual fund distributors.

Nick brings to ACA's clients his regulatory experience from the U.S. Securities and Exchange Commission and as an industry consultant with one of the "big 4" accounting firms. Nick began his compliance career with nearly four years as an Examiner and Staff Accountant at the SEC's New York Regional Office. While working at the SEC, Nick was primarily involved with the examination of investment companies, variable insurance products, transfer agents and business development companies. Prior to joining ACA, Nick was a consultant for the investment management regulatory compliance practice at a "Big 4" public accounting firm in New York where he was on a variety of engagements in the areas of compliance and risk management consulting for the investment management, banking and insurance industry.

Nick represents ACA through his continuous public speaking at industry conferences on mutual fund and anti-money laundering topics, and is sought after by investment management media publications for his commentary and insight of regulatory matters.

Nick graduated from St. John's University, New York, with a B.S. in Finance and where he subsequently received his MBA.


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