RegTech Insights

October 29, 2021

Key takeaways from the recent AIMA Fund Manager Briefing Webcast on Breaking the Surveillance Silos featuring ACA’s Pat Conroy and Marc Salter.

October 06, 2021

Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.

October 06, 2021

Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from October through December 2021.

October 05, 2021

The EU’s securities markets regulator, European Securities and Markets Authority (ESMA), recently fined a major trade repository for eight breaches of the European Market Infrastructure Regulation (EMIR). We examine why it’s vital that firms review the quality of their reporting, including where it is being delegated, to be sure it meets regulatory expectations.

August 31, 2021

ACA’s Spring 2021 Virtual Conference was an opportunity for the regulatory compliance, performance, and cybersecurity community to come together and discuss the many changes of the past year and what the future of GRC looks like moving forward.

August 25, 2021

The SEC recently charged a former employee of a biopharmaceutical company with "shadow trading", a form of insider trading. Learn more about this case, compliance implications, and our advice on what advisers can do to protect themselves.