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 and Foreside to Join Forces
The merger will bring together two of the industry’s most well-respected GRC solutions providers. ACA and Foreside together will be positioned to transform the future of GRC, creating a world-class platform for the financial services industry.
Michael Borts joins ACA Group as the new Chief Technology Officer
Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.
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.
Upcoming events
Money Laundering Reporting Officer: The Role and Responsibilities - 30 November 2021
The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.
Online Training
Get Your Cyber House in Order
Our speakers will discuss how to tailor your spending and prioritize your budget to meet the needs of your firm and regulatory requirements.
Webcast
Senior Management Obligations under the SM&CR - 1 December 2021
The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).
Online Training