Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.
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
With the New Year comes the global regulators’ announcements of their supervisory priorities and focus areas for the year ahead. Both the SEC and FCA have issued press releases regarding their views on technology and the role it plays in regulatory oversight.
Recap of our 2019 product updates, insights, alerts, webcasts, and other resources for CCOs, COOs, legal personnel, and compliance and risk teams to review and utilize to close 2019 strong and lay the foundation for a successful 2020.
Regulators Remind Financial Services Firms of the Importance of Technology in Detecting Financial Crime
In recent weeks regulators across the globe have issued communications regarding their ongoing commitment to detecting and punishing insider trading, market abuse, and other misconduct by investment management firms. The common thread? Technology.
As you prepare to close 2019 strong and get ready for 2020, budgeting for RegTech as an efficient and cost-effective way to drive efficiencies and build a strong compliance program should be top of mind. Download our infographic to see how your peers are implementing - and budgeting for - RegTech.
ACA Compliance Group Enhances Automated Trade Blotter Review Tool to Align with the SEC’s Latest Trading Data Request Template
ACA's automated trade blotter review tool includes a trading file request template that aligns with the SEC's latest data request template to help registered investment advisers more thoroughly, proactively, and efficiently prepare for a potential SEC examination.
- Trade Surveillance
On demand RegTech webcasts
Join us for a live webcast as we discuss the intricacies and challenges for financial firms associated with the volume and complexity of side letter and legal document management and demonstrate how ACA's new technology solution can help.
Join ACA as we discuss the current regulatory climate and what firms need to know to protect their business.