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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Electronic Communications Recordkeeping Failures Cost Large Firms More than $1.1 Billion

The SEC fined 16 firms for failure to capture certain communications, and failure to supervise their employees by not detecting or preventing the use of unapproved devices. Find out what you need to know.

Compliance Alert
  • eComms Surveillance
  • Compliance
  • RegTech
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Russell Investments Selects ACA Group’s ARRMA Service to Enhance Regulatory Reporting

Leading global investment solutions firm chooses ACA’s ARRMA (ACA Regulatory Reporting Monitoring & Assurance) service to help manage its MiFIR and EMIR transaction reporting arrangements.

Press Release
  • Compliance
  • Trade & Transaction
  • RegTech
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SEC Unauthorized Electronic Communications Sweep Key Takeaways

The SEC has become increasingly concerned with the risks arising from employees’ increasingly wide-spread use of mobile electronic communications apps to conduct business. Learn about the risks and how private fund managers can more effectively track, archive, and surveil their employees’ business-related communications across all communication channels being utilized.

Article
  • Compliance
  • SEC
  • RegTech
  • ComplianceAlpha
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ACA Group Selected as an AIFinTech100 Company for 2022

ACA Group has been named one of the 100 most innovative AIFinTech companies in the financial industry by FinTech Global.

News
  • ACA News
  • RegTech
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Future-Proofing Compliance Best Practices with Technology

Shifting demands in regulators on financial services firms have elevated the importance of compliance to best practices. Learn what compliance officers are focused on in their surveillance processes.

Article
  • RegTech
  • ComplianceAlpha
  • Compliance
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WatersTechnology Survey Report: Compliance Technology Challenges, Opportunities and What Firms Want

Download the whitepaper for key findings from a recent data and analytics survey carried out in conjunction with WatersTechnology.

Report
  • RegTech

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