ComplianceAlpha® 2021Q2 Demo
Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.
Webcast
Regulatory Technology
Build a scalable and resilient compliance program with our integrated regulatory technology and managed services.
See how ComplianceAlpha helps firms achieve better outcomes and economies of scale
Watch our video to see how ComplianceAlpha® integrates risk and compliance activities, surveillance and monitoring, testing, and analytics in one platform to provide you with a unified view of risks and behavior across your firm.
Announcing our new eComms Surveillance Solution
Learn how the integration of Catelas' eComms surveillance technology further enhances the holistic surveillance capabilities of ACA’s RegTech platform.
ACA has helped us improve our compliance program through the use of sophisticated technology and increased economies of scale, efficiencies, and standardization. ComplianceAlpha has enabled us to build a progressive compliance function that positions compliance as a competitive advantage. We believe this will help us win and retain business as new and existing clients increasingly focus on compliance oversight.
Russell Investments
Why ComplianceAlpha?
Leading Financial Services Clients
1,000+
Over 1,000 clients trust ComplianceAlpha to help protect and grow their business. Our clients' insights and feedback help inform the continuous evolution of our product roadmap.
Former Regulators and Compliance Officers
200+
Over 200 former regulators and compliance officers lend their real-world experience and subject matter expertise to the development of new features.
Reduced Total Cost of Ownership
40%
Our tech + managed services solutions can reduce the total cost of ownership by up to 40% over four years.
Regulatory technology resources
Breaking Down Surveillance Data Silos to Achieve Risk-360
Key takeaways from the recent AIMA Fund Manager Briefing Webcast on Breaking the Surveillance Silos featuring ACA’s Pat Conroy and Marc Salter.
Article
- Regulatory Technology
- Trade Surveillance
- eComms Surveillance
- Managed Services
What Investment Advisers Need to Know about the SEC's Recent Insider Trading Case Focused on "Shadow Trading"
The SEC recently charged a former employee of a biopharmaceutical company with "shadow trading", a form of insider trading. Learn more about this case, compliance implications, and our advice on what advisers can do to protect themselves.
Compliance Alert
- ComplianceAlpha
- Compliance
- Trade Surveillance
- Regulatory Technology
Key Takeaways from 1LoD’s Trade Surveillance Deep Dive Report 2021
Industry analyst 1LoD recently hosted a two-day Deep Dive on the future of trade surveillance. Attendees were from all over the globe and represented financial institutions (78%), technology firms (19%), and regulators (2%). ACA’s Michael Lehman, Partner and product manager for ACA’s Market Abuse Surveillance technology in ComplianceAlpha®, spoke at the event.
Report
- Regulatory Technology
- Trade Surveillance
RiskMutation™ Strategic Roadmap: Integrating RegTech
RegTech can help firms navigate the future of risk and compliance in the age of RiskMutation™ by transforming risk and compliance functions while delivering cost savings. Get our RegTech strategic roadmap here.
Article
- Regulatory Technology
- RiskMutation
Recent technology news and updates
ACA Group Acquires Catelas to Create Industry-first 360 Surveillance Offering
The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.
Press Release
- ACA News
Waters Rankings 2021 Name ACA Group's ComplianceAlpha® Best Anti-Money Laundering Compliance Solution Provider
Our ComplianceAlpha® platform has been named Best Anti-Money Laundering Compliance Solution Provider in the Waters Rankings 2021.
Press Release
- Regulatory Technology
- ACA News
ACA Selected as a RegTech 100 Company for 2021
ACA recognised an industry leader in building innovative risk and compliance management solutions for financial services firms with its ComplianceAlpha® RegTech platform. ComplianceAlpha helps over 800 clients worldwide build progressive compliance programs that decrease risk, increase efficiency, reduce costs, and build operational resilience across their firms.
News
- ACA News
ACA's Regulatory Reporting Monitoring & Assurance (ARRMA) service winner of the 2021 HFM European Technology Awards
Within a year of launching, ACA Group is delighted to announce that our ACA Regulatory Reporting Monitoring & Assurance (ARRMA) service has been selected as Best Regulatory Reporting Solution in the 2021 HFM European Technology Awards.
News
- Regulatory Technology
- Trade & Transaction
- ACA News
On demand 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
Our leadership team
Raj Bakhru
Chief Innovation Officer
Raj oversees ACA strategy, M&A, and ComplianceAlpha®.
Michael Borts
Chief Technology Officer
Michael is the Chief Technology Officer and oversees regulatory technology product development at ACA.
Eddie Cogan
Partner, Head of eComms Surveillance
Eddie is the founder of Catelas and oversees ACA's eComms Surveillance Technology.
Patrick Conroy
Partner, Regulatory Technology
Patrick oversees global business development for ACA’s regulatory technology and managed services solutions.
Leigh Emery
Senior Product Champion, Regulatory Technology
Leigh is Senior Product Champion for ACA's ComplianceAlpha® regulatory technology platform. She was formerly Chief Compliance Officer for Dynasty Financial Partners.
Glen Froio
Partner, Regulatory Technology
Glen oversees ComplianceAlpha®'s services functions, including Customer Support, Customer Success, and Product Implementation.
Nikolay Kojuharov
Partner
Nikolay oversees the ComplianceAlpha® software development team.
Michael Lehman
Partner
Michael oversees key relationships and product management of ComplianceAlpha®'s Market Abuse Surveillance Solution, formerly known as Decryptex ®.
Jordan Schwartz
Partner
Jordan oversees product management for ComplianceAlpha®'s Compliance Management, Marketing Review, and Employee Compliance Solutions.
News
ACA Group Named Accounting/Due Diligence Firm of the Year by M&A Advisor
ACA Group announced today that ACA Aponix® is the recipient of the Accounting/Due Diligence Firm of the Year in the 20th Annual M&A Advisor Awards. The M&A Advisor Awards are the benchmark for dealmaking excellence, recognizing the leading M&A Transactions, Restructurings, Deal Financings, Product/ Services, Firms, and Professionals.
ACA Group Selected as a RegTech100 Company for 2022
ACA is delighted to be counted among the 100 most innovative RegTech companies in the financial industry.
ACA Group Named Best Regulatory Consultancy - North America by RegTech Insight
ACA is honored to be voted Best Regulatory Consultancy - North America in the RegTech Insight Awards 2021 USA.
Upcoming events
Compliance Induction - 18 January 2022
Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.
Online Training
Annual Compliance Training - 26 January 2022
The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.
Online Training
Client Money - 27 January 2022
Financial services providers that hold or control client money or assets must follow specific rules outlined in the Financial Conduct Authority’s (FCA) Clients Assets Sourcebook (CASS). This course is specifically designed to assist teams in dealing with client money audits and the client assets report, as well as helping them stay up to date with statutory and regulatory obligations in this complicated area.
Online Training