Regulatory Technology

Build a scalable and resilient compliance program with our integrated regulatory technology and managed services.

See how ComplianceAlpha helps firms achieve better outcomes and economies of scale

Watch our video to see how ComplianceAlpha® integrates risk and compliance activities, surveillance and monitoring, testing, and analytics in one platform to provide you with a unified view of risks and behavior across your firm.

Announcing our new eComms Surveillance Solution

Learn how the integration of Catelas' eComms surveillance technology further enhances the holistic surveillance capabilities of ACA’s RegTech platform.

Our GRC technology + managed services solutions

Our Employee Compliance Solution streamlines the management of your firm’s personal trading surveillance, employee certifications, gift and entertainment requests and disclosures, political contributions, outside business activity reporting, and more.

Download product sheet

Our Market Abuse Surveillance Solution provides automated, in-depth trade surveillance to help your firm identify items of interest and non-compliant trading and investment activity.

Download product sheet

Our eComms Surveillance Solution (formerly Catelas) is an integrated, machine learning-based surveillance and investigations platform that provides global buy- and sell-side firms with a complete view of potential high-risk activities and behavior across their organization from a single platform.

Download product sheet

Our Marketing Review Solution combines smart technology with our dedicated managed services to help firms automate and increase efficiencies for reviewing and approving marketing and advertising materials and financial promotions.

Download product sheet

Our Compliance Management Solution provides a governance, risk, and compliance technology platform for effectively and efficiently managing your firm's compliance program activities and identifying potential issues through automated risk monitoring, compliance activity tracking, up-to-date reference compliance content, reporting, and visual analytics.

Download product sheet

Our AML KYC/CIP Solution is designed to assist your firm in developing and implementing effective AML practices that meet industry best practices and comply with applicable laws and regulations in the U.S., Europe, and Cayman Islands. Our solution combines technology with managed services to help your firm meet its data screening, ongoing monitoring, remediation, and reporting needs.

Download product sheet

Our eLearning Solution provides a centralized platform for your firm's employee training requirements, from course administration through employee completion.

ACA’s Regulatory Reporting Monitoring & Assurance service (ARRMA) is a unique blend of technology with specialist consulting oversight, which helps firms quickly and cost-effectively spot EMIR and MiFIR transaction reporting problems relating to accuracy, completeness and timeliness before they are identified by the regulator.

1 of

ACA has helped us improve our compliance program through the use of sophisticated technology and increased economies of scale, efficiencies, and standardization. ComplianceAlpha has enabled us to build a progressive compliance function that positions compliance as a competitive advantage. We believe this will help us win and retain business as new and existing clients increasingly focus on compliance oversight.

Russell Investments

Why ComplianceAlpha?

Leading Financial Services Clients

1,000+

Over 1,000 clients trust ComplianceAlpha to help protect and grow their business. Our clients' insights and feedback help inform the continuous evolution of our product roadmap.

Former Regulators and Compliance Officers

200+

Over 200 former regulators and compliance officers lend their real-world experience and subject matter expertise to the development of new features.

Reduced Total Cost of Ownership

40%

Our tech + managed services solutions can reduce the total cost of ownership by up to 40% over four years.

On demand 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

Our leadership team

Raj Bakhru

Raj Bakhru

Chief Innovation Officer

Raj oversees ACA strategy, M&A, and ComplianceAlpha®.

Michael Borts

Michael Borts

Chief Technology Officer

Michael is the Chief Technology Officer and oversees regulatory technology product development at ACA.

Eddie Cogan

Eddie Cogan

Partner, Head of eComms Surveillance

Eddie is the founder of Catelas and oversees ACA's eComms Surveillance Technology.

Patrick Conroy

Patrick Conroy

Partner, Regulatory Technology

Patrick oversees global business development for ACA’s regulatory technology and managed services solutions.

Leigh Emery

Leigh Emery

Senior Product Champion, Regulatory Technology

Leigh is Senior Product Champion for ACA's ComplianceAlpha® regulatory technology platform. She was formerly Chief Compliance Officer for Dynasty Financial Partners.

Glen Froio

Glen Froio

Partner, Regulatory Technology

Glen oversees ComplianceAlpha®'s services functions, including Customer Support, Customer Success, and Product Implementation.

Nikolay Kojuharov

Nikolay Kojuharov

Partner

Nikolay oversees the ComplianceAlpha® software development team.

Michael Lehman

Michael Lehman

Partner

Michael oversees key relationships and product management of ComplianceAlpha®'s Market Abuse Surveillance Solution, formerly known as Decryptex ®.

Jordan Schwartz

Jordan Schwartz

Partner

Jordan oversees product management for ComplianceAlpha®'s Compliance Management, Marketing Review, and Employee Compliance Solutions.

1 of

News

Michael Borts joins ACA Group as the new Chief Technology Officer

Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.

ACA Group Acquires Catelas to Create Industry-first 360 Surveillance Offering

The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.

ACA Group and the Investment Adviser Association Announce Strategic Partnership

ACA Group (ACA), a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions, today announced that it has entered into a strategic partnership with the Investment Adviser Association (IAA), a leading organization dedicated to advancing the interests of investment advisers.

Upcoming events

Common Practices for GIPS® Compliance

ACA has gathered all the common best practices of performance teams complying to the GIPS standards and will discuss the most common question we receive from clients, "What do other firms do?"

Webcast

Compliance Officer: The Roles and Responsibilities - 21 October 2021

The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.

Online Training