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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ComplianceAlpha Solves for MNPI and Code of Ethics Deficiencies

The SEC recently released a risk alert highlighting deficiencies in the areas of MNPI and the Code of Ethics Rule.

Article
  • RegTech
  • Compliance
  • ComplianceAlpha
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ACA Group Wins Best Solution for Managing Operational Risk - Europe by RegTech Insight 2022

ACA is honored ComplianceAlpha was voted Best Solution for Managing Operational Risk in the RegTech Insight Awards 2022 Europe.

News
  • ComplianceAlpha
  • RegTech
  • ACA News
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FCA Market Watch 69: Focus on Market Conduct and Transaction Reporting

The regulator discusses firms’ arrangements for market abuse surveillance - drawing on their observations from engaging with small and medium-sized firms.

Compliance Alert
  • Compliance
  • RegTech
  • FCA
  • Trade & Transaction
  • Trade Surveillance
  • ComplianceAlpha
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6 Strategies for Digitizing Your Compliance Program

This guide provides the strategies, insights, and resources for tech-enabling your compliance program and transforming it into a progressive powerhouse.

Article
  • RegTech
  • ComplianceAlpha
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Regulatory Technology Trends to Watch for in 2022

We’ve compiled the top technology-related trends, insights, and resources compliance leaders need to know to maintain an efficient and effective compliance program.

Article
  • RegTech
  • Compliance
ACA Annual Conference 2022

Keynote Panel Announced for ACA's 2022 Annual Conference

Join us for a virtual conference for firms with a U.S. presence. We’ll explore hot topics in compliance, performance, cyber, ESG, and RegTech.

News
  • Compliance
  • RegTech
  • ESG
  • Cybersecurity

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