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
The Compliance Talent Supply and Demand Challenge
Compliance teams are increasingly challenged to keep regulatory pace and best practices while managing with fewer internal resources, demand for increased efficiency, and budget constraints. This leaves firms in danger of creating risky exposure gaps in their compliance program. Learn more about practical ways to address these challenges.
Article
- Compliance
- Managed Services
- FCA
- SEC
- ComplianceAlpha
- RegTech
SEC Strategic Plan: More Enforcement, More Rules, and More Technology
The SEC issued its four-year strategic plan for 2022-2026. We summarize the goals of the plan and explore what it means for the next four years.
Compliance Alert
- Compliance
- SEC
- Cybersecurity
- ESG
- RegTech
The Global GRC Risks of Unauthorized Business Communication Channels
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.
Compliance Alert
- Compliance
- RegTech
- ComplianceAlpha
- FCA
- SEC
SEC Sends $1.1 Billion Warning to Financial Firms that Ignore Record-keeping Requirements
$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.
Article
- Compliance
- RegTech
- SEC
ACA Group Expands Electronic Communications Surveillance Capabilities in ComplianceAlpha Platform
The enhancements to ACA’s eComms surveillance technology include relationship forensics, machine learning, and an integrated archive to enable more effective internal investigations
Press Release
- ACA News
- eComms Surveillance
- RegTech
Electronic Communications Recordkeeping Failures Cost Large Firms More than $1.1 Billion
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.
Compliance Alert
- eComms Surveillance
- Compliance
- 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