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
Advisory Firm Settles Cherry Picking Fraud Charges With the SEC
This case should give pause to firms of all sizes to evaluate what they are doing to proactively detect potential market abuse on their own.
Compliance Alert
- RegTech
- ComplianceAlpha
- SEC
- Compliance
Lessons Learned From Recent AML Enforcement Actions
By analyzing recent cases, institutions can identify regulatory trends and enhance their compliance framework to mitigate potential risks.
Article
- AML and Financial Crime
- ComplianceAlpha
- RegTech
Regulatory Enforcement of Off-Channel Communications
The U.S. SEC has charged 11 financial firms for failing to maintain electronic communications, imposing penalties of over $289 million. This is part of a broader crackdown, with previous cases involving similar charges and penalties exceeding $1.5 billion, raising industry concerns about proper recordkeeping.
Compliance Alert
- SEC
- Compliance
- RegTech
ACA Group Enhances Surveillance Capabilities for Off-Channel Communications to Navigate Rising Regulatory Scrutiny
New partnership with LeapXpert will help financial firms surveil multiple messaging channels to meet client expectations while ensuring regulatory compliance.
Press Release
- RegTech
- ACA News
Tip for Updating Your Compliance Program: Electronic Communications
The SEC will investigate advisers' use of electronic communication platforms. Advisors should review policies, poll employees, test email domains, and train staff to avoid penalties.
Article
- eComms Surveillance
- Compliance
- RegTech
ACA Awarded Most Innovative Trade Surveillance Solution
ACA Group is proud to be recognized for most innovative trade surveillance solution at this year’s A-Team Innovation awards announced March 23, 2023.
News
- ComplianceAlpha
- RegTech
- ACA News
- Trade & Transaction
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