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
Strategies to Transform Your Compliance Program with Technology - #2: Work Smarter
A blend of technology for automation and managed services for outsourcing can reduce the manual workload and guesswork for you and your team.
Article
- ComplianceAlpha
- RegTech
ACA Group Advancing Beyond Boundaries by Clinching RegTech100 for Innovation and Growth
ACA is thrilled to announce that it has been recognized once again as a RegTech100 company for 2024 by RegTech Analyst.
News
- ComplianceAlpha
- RegTech
- ACA News
Laying the Groundwork for Future Shadow Trading Enforcement
The denial of a summary judgement in the SEC's case against a pharmaceutical company executive opens the door for the SEC to pursue other shadow trading cases.
Compliance Alert
- RegTech
- Compliance
- Trade Surveillance
Strategies to Transform Your Compliance Program with Technology - #1: Champion(s)
Having a knowledgeable, engaged business partner behind you will help ensure that technology is implemented effectively and adopted successfully.
Article
- RegTech
- Compliance
The CFTC Cracks Down on Recordkeeping Failures
The CFTC recently issued an order against an introducing broker and a futures commission merchant for violations of recordkeeping and supervision requirements. However, this is just one instance in the CFTC's crackdown.
Compliance Alert
- RegTech
- Compliance
Strengthen Your AML Program
Firms need to be proactive in their approach to AML and sanctions compliance. Following this checklist can create a good foundation for an effective program.
Article
- AML and Financial Crime
- 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