Technology Feature Release: ACA Compliance Data Migration

Protect Your Code of Ethics Program During Compliance Technology Migrations

Changing personal trading compliance platforms can create significant operational and data-management challenges.

Yet for many firms, migrating years of employee compliance data, brokerage account information, transactions, certifications, and disclosures can feel overwhelming. Data quality concerns, system limitations, resource constraints, and tight deadlines often turn a straightforward transition into a complex operational project.

ACA’s compliance data migration is designed to help firms navigate that transition, reducing administrative burden while helping preserve the integrity of critical books and records throughout the migration process.

Why Data Migration Matters

Personal trading and Code of Ethics records are foundational to a firm’s compliance program. When organizations move to a new platform, historical data must often be preserved, organized, and transferred in a way that supports ongoing compliance monitoring and regulatory recordkeeping requirements.

Without a clearly defined migration strategy, firms may face:

• Delays in system adoption
• Manual reconciliation efforts
• Missing or incomplete records
• Data inconsistencies between systems
• Operational disruptions during go-live

ACA helps reduce these risks through a structured migration process that combines project management, compliance expertise, data transformation, exception reconciliation, and brokerage feed coordination.

A Flexible Approach Built Around Your Needs

Every firm’s migration requirements are different. ACA’s Managed Services support multiple engagement models to align with your compliance goals and operational priorities.

Firms can choose:

• Full Migration: Transfer agreed historical records into your new compliance platform to support ongoing monitoring and employee workflows.
• Export and Archive: Extract and organize records for delivery to the firm for secure retention outside the platform.
• Hybrid Migration: Import only the data needed for current workflows, while archiving older records separately. This approach can reduce migration effort while preserving access to historical information.

Expertise Across Leading Compliance Platforms

ACA supports migrations involving ComplianceAlpha^® Employee Compliance solution and several widely used personal trading compliance systems. The team evaluates source and target platforms, data structures, import requirements, and access considerations to determine an appropriate migration approach.

Depending on project scope, ACA can assist with:

• Data extraction and organization
• Import template preparation
• Data normalization and transformation
• Exception identification and reconciliation
• Brokerage feed transfer coordination
• Historical record archiving and delivery

Reduce Complexity. Improve Readiness.

Successful migrations require more than moving data from one system to another.

ACA’s Managed Services team works with firms to establish scope, evaluate data sources, identify dependencies, coordinate stakeholders, and validate migration outcomes. This structured approach helps organizations prepare for go-live while maintaining visibility throughout the project lifecycle.

Whether you’re replacing an existing compliance platform, consolidating systems after an acquisition, or modernizing your employee compliance program, ACA’s Managed Services provides the expertise and support needed for a smooth transition.