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
Harris-Walz Campaign Contributions May Trigger Pay-to-Play Rules
With the selection of Minnesota Governor Tim Walz as the 2024 Democratic Party candidate for Vice President of the United States, federal, state, and local rules on political contributions come into sharp focus.
Compliance Alert
- Compliance
- ComplianceAlpha
- RegTech
- SEC
- FINRA
The Evolution of Communications Surveillance
How we comply with the books and records requirement has changed as technology has advanced.
Article
- RegTech
- ComplianceAlpha
- eComms Surveillance
Enhancing Off-Channel Communications Capture and Surveillance
This article provides actionable steps to set up an effective books and records surveillance program.
Article
- RegTech
- eComms Surveillance
- ComplianceAlpha
Scrutiny of Off-Channel Communications Capture, Archive, and Surveillance
This article will delve into the recent buzz around off-channel communications and how your firm can prepare for the increased regulatory scrutiny.
Article
- RegTech
- ComplianceAlpha
- eComms Surveillance
ACA Group Honored in AIFinTech100 List for the Third Consecutive Year
This marks our third consecutive year of being acknowledged as one of the most innovative AI solution providers in the AIFinTech100 list.
Article
- ACA News
- RegTech
- ComplianceAlpha
The FCA Reminds Firms of the Importance of Data and Algorithmic Governance in Market Abuse Surveillance
In its Market Watch 79, the FCA issued a reminder to firms about the perils of data issues and poor algorithmic governance in tools used for market abuse surveillance.
Compliance Alert
- Compliance
- FCA
- Trade Surveillance
- RegTech
- ComplianceAlpha
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