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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How RegTech Can Enhance Your Firm’s GRC Program: A 4-Step Approach

Chief compliance officers (CCOs) and risk and compliance teams know they need regulatory technology to meet ever-increasing regulatory obligations as well as establish best practices for their firm’s governance, risk, and compliance (GRC) program that reduce operational risk and increase operational efficiencies. While the value added by a RegTech solution is clear, understanding the full scope of a GRC technology implementation can be a significant challenge. This blog post explains the four steps you can take to enhance the effectiveness of your firm’s GRC capabilities using technology.

Article
  • RegTech
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Trading Up: Considerations for Developing a 21st Century Trade Surveillance Program

The following article written by ACA's Michael Abbriano and Brett Ambrose appeared in the September 2018 National Society of Compliance Professional's Currents newsletter.

Article
  • RegTech
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ACA Technology Incorporates Compliance ELF into ComplianceAlpha

ACA expands regulatory technology offerings with Compliance ELF (Employee Level Filing), a code of ethics, personal trading, and employee compliance management solution.

Press Release
  • RegTech
  • ComplianceAlpha
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Recent Developments in the SEC’s Requests Related to MNPI Testing

The U.S. Securities and Exchange Commission ("SEC") continues to invest in developing and improving its technology and data analytics capabilities.

Compliance Alert
  • RegTech
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ACA Technology Announces Version 3.0 of ACA's Decryptex Trade Surveillance Solution

Key features include integration with ACA’s ComplianceAlpha®, single sign-on (SSO) support, and a redesigned user interface.

Press Release
  • Trade Surveillance
  • ACA News
  • RegTech
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ACA Technology Announces Release of ACA Regulatory Reporting 5.0

Key features include a redesigned user interface and the integration of Form 13F with Form PF.

Press Release
  • RegTech
  • ACA News

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