RegTech Insights

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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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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
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SEC Requesting that Firms Submit Data via Formatted Template as Part of Investment Adviser Exams — What Your Firm Needs to Know

Since the U.S.

Compliance Alert
  • RegTech
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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. 

 

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ComplianceAlpha® 2021Q2 Demo

Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.

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