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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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
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Global Regulators Renew Commitment to Data and Analytics Innovation in 2020

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.

Compliance Alert
  • RegTech
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The Year in Regulatory Technology for Financial Services Firms

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.

Article
  • RegTech
curved glass building looking up at a blue sky

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.

Compliance Alert
  • RegTech
highway at night from overhead

Are You Ready for 2020? Peer Benchmarking Your Firm's RegTech Program

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.

Article
  • RegTech
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RegTech in Action


Our demo series showcasing ComplianceAlpha in individual, click-by-click demos. In 30 minutes or less, you will see our RegTech in Action and how it can elevate your daily compliance functions. 

 

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