ComplianceAlpha® 2021Q2 Demo
Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.
Webcast
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
2022 Regulatory Headwinds: Potential Changes to Securities Laws and Regulations and the Impact on Private Fund Managers
We partnered with Willkie Farr & Gallagher LLP to explore several of the proposed SEC rulemakings that merit special attention for private funds.
Article
- RegTech
- Compliance
Q1 2022 Regulatory Reporting Deadlines
Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from January through March 2022.
Article
- Compliance
- RegTech
- Regulatory Deadlines
ACA's Top 10 Webcasts of 2021
As 2021 winds down and we prepare for the new year, we thought we would take a moment to look back at our most popular webcast topics of 2021.
Article
- Compliance
- Performance
- ESG
- Cybersecurity
- RegTech
Key Takeaways from 1LoD’s Voice Surveillance Deep Dive Report 2021
With more employees working out of their homes, how can financial services firms best balance the demands of regulators with legal concerns like privacy and employment laws, all while building a culture of trust among employees? This was the topic of discussion at 1LoD’s 2021 Deep Dive forum on voice surveillance.
Report
- RegTech
- eComms Surveillance
- Trade Surveillance
Best Practices for Managing the Latest Trends and Challenges Related to Market Abuse Surveillance
ACA Group’s Eddie Cogan, recently joined A-Team Insight’s Sarah Underwood for a fireside chat where they discussed the latest trends and challenges related to market surveillance, the best practices for addressing these challenges, where firms should start, and how technology can help.
Article
- RegTech
- eComms Surveillance
- Trade Surveillance
Review and Enhance Your Holistic Surveillance Program: A Year-End Checklist
As you approach year-end and budget season, it’s a good time to review your surveillance program and determine what enhancements may be needed.
Article
- RegTech
- Trade Surveillance
- eComms Surveillance
- Personal Account Dealing
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
Leveraging New Technology for Side Letter and Legal Document Management
Join us for a live webcast as we discuss the intricacies and challenges for financial firms associated with the volume and complexity of side letter and legal document management and demonstrate how ACA's new technology solution can help.
Webcast
Regulatory Spotlight: The Heightened Focus on Insider Trading and Market Abuse Due to COVID-19
Join ACA as we discuss the current regulatory climate and what firms need to know to protect their business.
Webcast