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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Review and Enhance Your Holistic Surveillance Program: A Year-End Checklist

As you approach year-end and budget season, it’s a good time to review your surveillance program and determine what enhancements may be needed.

Article
  • RegTech
  • Trade Surveillance
  • eComms Surveillance
  • Personal Account Dealing
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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
AIMA Journal Q4 2021

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
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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
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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
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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

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