The Year in Regulatory Technology for Financial Services Firms

2019 regulatory technology insights, news, webcasts, and resources

We thank our clients and friends for a successful 2019 and wish you continued success in 2020. As a token of our appreciation, we want to share a recap of our product updates, insights, alerts, webcasts, and other resources for you to review and utilize to start the New Year strong.

Product Updates

This year we continued to enhance our regulatory technology solutions and services to help our clients meet their regulatory obligations effectively and efficiently. Key updates and enhancements included:

• ComplianceAlpha 2.0 - Our next-generation RegTech platform is designed to help your firm strengthen and streamline risk and compliance management across the enterprise from a single location.
   
• Holistic Surveillance Solution - Brings together our established surveillance services and technology solutions in a comprehensive package designed to help your firm meet the surveillance expectations of regulators as well as to replicate their technological capabilities.
   
• Trade Blotter Review Analysis Tool - Incorporates select algorithms from our Trade Surveillance software and includes a trading file request template that aligns with the U.S. Securities and Exchange Commission’s (SEC) latest data request template.

Insights and Alerts

Here are 2019's top RegTech insights from our compliance and technology professionals:

• Global Regulators Remind Financial Services Firms of the Importance of Technology in Detecting Financial Crime
   
• The 2020 U.S. Election is Here: How is Your Firm Monitoring Political Contributions and Government Relationships?
   
• Addressing the Rising Cost of Non-Compliance with RegTech
   
• 6 Ways to Stay Ahead of Financial Regulators with RegTech
   
• 6 Hot Topics in Employee Compliance

Resources and Downloads

The following downloadable resources are designed to help your firm close 2019 strong and lay the foundation for a successful 2020:

• 2020 Regulatory Reporting Deadlines Calendar
   
• CCO's Year-End Compliance Checklist
   
• European CCO's Year-End Compliance Checklist
   
• White Paper: Best Practices for Implementing a Holistic Surveillance Program
   
• Infographic: Peer Benchmarking Your Firm's RegTech Program

Webcasts and Live Demos

Watch or listen to our informative RegTech webcasts on demand at your leisure:

• What's New in ComplianceAlpha 2.0? Live Demo and Q&A
   
• Best Practices for a Holistic Monitoring Programme
   
• Best Practices in Compliance Forensic Testing
   
• RegTech Solutions for Compliance Challenges: Code of Ethics Monitoring and Personal Trade Surveillance

For More Information

For more information or questions, please reach out to your ACA consultant or contact us here.

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