ACA Technology Solutions Celebrates 2018 RegTech Growth and Innovation

Key milestones for ACA Technology Solutions in 2018 included:

• Adding access to personal trading/code of ethics management and trade surveillance functionality through ComplianceAlpha^®
• Releasing an all-new version of ACA Regulatory Reporting
• Expanding our dedicated RegTech team in the U.K.
• Adding over 500 clients globally to our RegTech platform

New York and London — ACA Technology Solutions, a division of ACA Compliance Group and a leading provider of investment management and regulatory compliance technology solutions, is marking a successful year of regulatory technology (“RegTech”) product innovation, global team expansion, and client growth in 2018.

Through ACA’s acquisition of Cordium and its product suite, we continued to build our global team of experienced financial technologists, including the expansion of our dedicated U.K. team to better serve our European clients. In 2018, we gained more than 500 new clients on our ComplianceAlpha and ACA Regulatory Reporting platforms for a total of more than 660 clients globally.

We were also selected for the 2019 RegTech 100 by RegTech Analyst, a specialist research firm that recognizes the most innovative tech companies transforming compliance, risk management, and cybersecurity.

In 2018 we continued to demonstrate our commitment to developing a best-in-class RegTech platform that helps our clients meet their regulatory obligations while optimizing workflows and efficiencies. Notable enhancements to our RegTech solutions include:

• Adding access to Compliance ELF (Employee Level Filing), a personal trading/code of ethics management solution, through ComplianceAlpha.
• The release of Decryptex^® version 3.0, ACA’s trade surveillance solution, which includes accessibility via ComplianceAlpha, single sign-on (SSO) support, a redesigned user interface, and bulk actions for multiple Items of Interest (IOIs).
• Enhanced vendor management functionality in the ACA Aponix^® Platform module, which includes an expanded vendor risk dashboard, tailored vendor due diligence questionnaire (DDQ) templates that include over 300 proprietary questions customized for each vendor type, and enhanced notifications and alerts.
• Enhancements to the Compliance Management Platform (CMP) module, which includes WORM-compliant storage in compliance with SEC Rule 17a-4, the ability to manage and control content visibility across multiple geographic affiliates, and updates to the ACA Master Reference Library of risks, controls, and activities for designing your compliance program.
• Enhancements to the Marketing Review Solution (MRS) module, which includes performance, usability, and workflow improvements, as well as continued improvements for defining custom submission forms and workflow routing.
• The release of ACA Regulatory Reporting version 5.0, which includes a redesigned user interface, a new dashboard for centralizing regulatory reporting deadlines and filings, the ability to file Form 13F independently or in conjunction with Form PF, and enhanced validations to meet regulatory guidelines across jurisdictions.

“Our experience with Compliance ELF has been greatly beneficial to our firm,” said Ronald R. Juskiewicz, Partner and Chief Compliance Officer at Avanath Capital Management, LLC. “We have been working with ACA’s Code of Ethics team since mid-2017, and in 2018 we transitioned to ACA’s Compliance ELF platform from a previous system. This transition was made seamless with the help of ACA’s experienced team. Compliance ELF’s functionality, especially the feed aggregator, better serves our firm’s needs by reducing the manual process of entering transactions.”

“We are pleased to provide our clients with new features and solutions that will help them meet their regulatory obligations more efficiently,” said Glen Froio, Partner at ACA Technology Solutions. “By adding personal trading/code of ethics management, integrated trade surveillance, enhancements for CMP and MRS, an enhanced regulatory reporting user experience, and improved vendor management functionality to the platform in 2018, we continue to evolve our RegTech solutions to meet our clients’ needs. I’d like to thank the ACA team for their continued dedication and hard work in 2018, as well as our clients for their support.”

About ACA Compliance Group

ACA Compliance Group (“ACA”) is a leading provider of governance, risk, and compliance advisory services and technology solutions. We partner with our clients to help them mitigate the regulatory, operational, and reputational risks associated with their business functions. Our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, broker-dealers, and domestic and international banks. ACA is based in New York City and has offices in London, Hong Kong, Malta, and other U.S. cities.

For More Information

For more information about ACA's RegTech solutions, request a demo here.