RegTech Insights

November 29, 2022

Communication has always been integral to the investment world and, as technology evolves and expands, the need for adequate and equally evolved surveillance mechanisms has grown.

October 26, 2022

$1.1BN of fines were recently issued to sixteen high-profile financial services firms for communication failings, with more regulatory enforcement expected. Learn more about what this means for SEC-registered firms around the world.

October 04, 2022

The enhancements to ACA’s eComms surveillance technology include relationship forensics, machine learning, and an integrated archive to enable more effective internal investigations

September 28, 2022

The SEC fined 16 firms for failure to capture certain communications, and failure to supervise their employees by not detecting or preventing the use of unapproved devices. Find out what you need to know.

September 28, 2022

Leading global investment solutions firm chooses ACA’s ARRMA (ACA Regulatory Reporting Monitoring & Assurance) service to help manage its MiFIR and EMIR transaction reporting arrangements.

August 12, 2022

The SEC has become increasingly concerned with the risks arising from employees’ increasingly wide-spread use of mobile electronic communications apps to conduct business. Learn about the risks and how private fund managers can more effectively track, archive, and surveil their employees’ business-related communications across all communication channels being utilized.