RegTech Insights

Our RegTech professionals develop resources and insights to help investment adviser firms understand how technology can aid risk and compliance management and how to incorporate RegTech into their own programs. Below are our most recent insights.

Latest RegTech insights

ACA Annual Conference 2022

Keynote Panel Announced for ACA's 2022 Annual Conference

Join us for a virtual conference for firms with a U.S. presence. We’ll explore hot topics in compliance, performance, cyber, ESG, and RegTech.

News
  • Compliance
  • RegTech
  • ESG
  • Cybersecurity
blue and green digital

SEC Sweep Inquiries and Enforcement Action of Unauthorized eComms

The SEC commenced sweep-style inquiries late last year into how big banks are monitoring, archiving, and safeguarding business-related electronic communications.

Article
  • Compliance
  • eComms Surveillance
  • RegTech
Architectural image - bridge

2022 Regulatory Headwinds: Potential Changes to Securities Laws and Regulations and the Impact on Private Fund Managers

We partnered with Willkie Farr & Gallagher LLP to explore several of the proposed SEC rulemakings that merit special attention for private funds.

Article
  • RegTech
  • Compliance
Architectural image - bridge

Q1 2022 Regulatory Reporting Deadlines

Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from January through March 2022.

Article
  • Compliance
  • RegTech
  • Regulatory Deadlines
Highways

ACA's Top 10 Webcasts of 2021

As 2021 winds down and we prepare for the new year, we thought we would take a moment to look back at our most popular webcast topics of 2021.

Article
  • Compliance
  • Performance
  • ESG
  • Cybersecurity
  • RegTech
AdobeStock_317630718 1200x900.jpeg

Key Takeaways from 1LoD’s Voice Surveillance Deep Dive Report 2021

With more employees working out of their homes, how can financial services firms best balance the demands of regulators with legal concerns like privacy and employment laws, all while building a culture of trust among employees? This was the topic of discussion at 1LoD’s 2021 Deep Dive forum on voice surveillance.

Report
  • RegTech
  • eComms Surveillance
  • Trade Surveillance

On demand RegTech webcasts

ComplianceAlpha® 2021Q2 Demo

Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.

Webcast