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
ACA's ComplianceAlpha Mobile App is Here - Watch the Video Now
We’re excited to launch the mobile version of ACA's ComplianceAlpha risk and compliance management platform to help make compliance easier and more accessible for your firm.
ComplianceAlpha Update
- RegTech
COVID-19 Has Regulators Homing in on Insider Trading and Market Abuse – Is Your Surveillance Program Ready for Increased Scrutiny?
Download our surveillance gap assessment checklist to see how your program measures up.
Article
- RegTech
- COVID-19
- Trade Surveillance
- Personal Account Dealing
Code of Ethics Concerns and Best Practices in Times of Market Volatility
With the current market volatility and the “new normal” of remote work, firms should ensure their Code of Ethics program is adjusted to comprehensively monitor for the new employee risks brought about by this environment. In this blog post, we share what concerns firms have regarding their Code of Ethics, as well as best practices for enhancing your firm's Code of Ethics program.
Article
- RegTech
- COVID-19
- Trade Surveillance
- Personal Account Dealing
Mitigating Employee Risks Related to the COVID-19 Pandemic
The coronavirus (COVID-19) pandemic is drastically changing how firms conduct business. These changes are creating a new set of risks and challenges for firms, particularly as relates to firms’ employees.
Article
- RegTech
- COVID-19
Introducing Insider Trading and Market Abuse Surveillance for Personal Trading Data in ComplianceAlpha
Clients of ACA’s Employee Compliance solution in ComplianceAlpha® can now receive Items of Interest (IOI) for potential insider trading and market abuse related to employees’ personal trading activity.
ComplianceAlpha Update
- RegTech
Key Takeaways for Buy-Side Firms from 1LoD’s 2020 Surveillance Benchmarking Survey & Report
Our key takeaways from 1LoD's 2020 Surveillance Benchmarking Survey & Report for buy-side firms.
Survey
- RegTech
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