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 Group Selected as a RegTech100 Company for 2022
ACA is delighted to be counted among the 100 most innovative RegTech companies in the financial industry.
News
- ACA News
- RegTech
Holistic Surveillance – To Trading Activity and Beyond
We are delighted to be featured in the latest AIMA Journal, Edition 128 examining the effectiveness and efficiency of holistic surveillance, reasons for its growing adoption, and why regulators expect it as an expedient for preventing fraud.
Article
- Trade Surveillance
- eComms Surveillance
- RegTech
Breaking Down Surveillance Data Silos to Achieve Risk-360
Key takeaways from the recent AIMA Fund Manager Briefing Webcast on Breaking the Surveillance Silos featuring ACA’s Pat Conroy and Marc Salter.
Article
- RegTech
- Trade Surveillance
- eComms Surveillance
- Managed Services
Michael Borts joins ACA Group as the new Chief Technology Officer
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.
Press Release
- RegTech
- ACA News
Q4 2021 Regulatory Reporting Deadlines
Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from October through December 2021.
Article
- Compliance
- Regulatory Deadlines
- RegTech
European Regulator Fines Major Trade Repository for EMIR Breaches
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.
Compliance Alert
- Compliance
- Trade & Transaction
- 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