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

We’re pleased to announce that we have added six Insider Trading and Market Abuse surveillance rules to ACA’s Employee Compliance solution in ComplianceAlpha^®. The new rules allow your firm to receive Items of Interest (IOI) within Employee Compliance for potential insider trading and market abuse related to your firm's employees’ personal trading activity.

The rules are powered by ACA’s trade surveillance technology algorithms and are designed to help your firm keep pace with the regulators’ advanced data and analytics capabilities and continuing supervisory focus on insider trading and market abuse.

If you need assistance configuring these new rules, please contact your ACA Customer Success representative or our Technical Support Team at support@compliancealpha.com.

ACA Resources

• Key Takeaways for Buy-Side Firms from 1LoD's 2020 Surveillance Benchmarking Survey & Report - blog post
• Best Practices for Implementing a Holistic Surveillance Program - white paper
• Global Regulators Renew Commitment to Data and Analytics Innovation in 2002 - compliance alert

About ACA's Trade Surveillance Solutions

We offer a range of trade monitoring and surveillance solutions designed to help your firm effectively, diligently, and proactively manage its trading risk in a way that meets regulatory expectations and industry best practices. To learn more about these solutions and how they compare, download our tear sheet.

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To request a meeting or demo, please contact us and a member of our team will be in touch shortly.

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