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

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ACA's ComplianceAlpha Mobile App is Here - Watch the Video Now

We’re excited to launch the mobile version of ACA's ComplianceAlpha risk and compliance management platform to help make compliance easier and more accessible for your firm.

ComplianceAlpha Update
  • RegTech
highway at night from overhead

COVID-19 Has Regulators Homing in on Insider Trading and Market Abuse – Is Your Surveillance Program Ready for Increased Scrutiny?

Download our surveillance gap assessment checklist to see how your program measures up.

Article
  • RegTech
  • COVID-19
  • Trade Surveillance
  • Personal Account Dealing
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Code of Ethics Concerns and Best Practices in Times of Market Volatility

With the current market volatility and the “new normal” of remote work, firms should ensure their Code of Ethics program is adjusted to comprehensively monitor for the new employee risks brought about by this environment. In this blog post, we share what concerns firms have regarding their Code of Ethics, as well as best practices for enhancing your firm's Code of Ethics program.

Article
  • RegTech
  • COVID-19
  • Trade Surveillance
  • Personal Account Dealing
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Mitigating Employee Risks Related to the COVID-19 Pandemic

The coronavirus (COVID-19) pandemic is drastically changing how firms conduct business. These changes are creating a new set of risks and challenges for firms, particularly as relates to firms’ employees.

Article
  • RegTech
  • COVID-19
woman using compliancealpha on a laptop computer

Introducing Insider Trading and Market Abuse Surveillance for Personal Trading Data in ComplianceAlpha

Clients of ACA’s Employee Compliance solution in ComplianceAlpha® can now receive Items of Interest (IOI) for potential insider trading and market abuse related to employees’ personal trading activity.

ComplianceAlpha Update
  • RegTech
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Key Takeaways for Buy-Side Firms from 1LoD’s 2020 Surveillance Benchmarking Survey & Report

Our key takeaways from 1LoD's 2020 Surveillance Benchmarking Survey & Report for buy-side firms.

Survey
  • RegTech

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