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RegTech in Action

See how our fully-integrated regulatory technology solution, ComplianceAlpha, can tech-enable your compliance program from top to bottom.

See Our Regulatory Technology Solutions in Action

This series showcases our regulatory technology solutions in individual, click-by-click demos that illustrate ComplianceAlpha's functionality and explains how it can elevate your firm's daily compliance functions.

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Each demo is approx. 30 minutes in length and aims to answer any initial questions you may have - if any come up while you watch, send them through the 'Q&A' box under the presentation, and our team will follow-up!

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Compliance Management

Effectively and efficiently manage your firm's compliance program activities and identify potential issues through automated risk monitoring, compliance activity tracking, up-to-date reference compliance content, reporting, and visual analytics.

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Compliance Support
Control Room

Monitor your firm-wide risk in a way that meets regulatory expectations and industry best practices, while simplifying daily compliance functions.

 

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Employee Compliance

Streamline the management of your firm’s personal trading surveillance, employee certifications, gift and entertainment requests and disclosures, political contributions, outside business activity reporting, and more.

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Market Abuse Surveillance Technology and Analysis
Market Abuse Surveillance

As amounts of data increases and trading strategies become more complex, more and more compliance teams are turning to technology to help mitigate risk. Our Market Abuse Surveillance Solution can optimize your surveillance testing and manage trading risk. 

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Marketing Review

This brief demo will illustrate how smart technology can help lighten the load with tailored review and approval workflows, disclosure/disclaimer library and rules engine, and annotations and mark-up tools.
 

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