ACA Group Expands Electronic Communications Surveillance Capabilities in ComplianceAlpha Platform


ACA Group

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  • ACA News
  • eComms Surveillance
  • RegTech

The enhancements to ACA’s eComms surveillance technology include relationship forensics, machine learning, and an integrated archive to enable more effective internal investigations

New York and LondonACA Group (ACA), the leading governance, risk, and compliance (GRC) advisor in financial services, today announced that it has added a host of new capabilities to ComplianceAlpha®, the firm’s integrated RegTech solutions platform. These latest additions are designed to better support the surveillance of and adherence to policies related to electronic communications (eComms).

By offering electronic communication surveillance capabilities via the ACA ComplianceAlpha platform, financial services firms, globally, can now leverage inbuilt functions to bring regulatory investigations to the fore, and seamlessly escalate issues to management. In addition, ACA’s RegTech surveillance solutions provide the tools necessary to capture communications across multiple channels including email, collaboration tools, and mobile devices to provide complete supervision and archiving of employee communications.

“As electronic communications recordkeeping comes under increased scrutiny from global regulators, it’s now clear that firms need to move beyond policies and procedures, and actually be able to access and analyze communications data to take proactive action to ensure compliance,” said Annie Morris, Chief Product Officer at ACA Group. “For example, our relationship forensics calculates relationship strength between employees or employees and individuals outside the firm. These interpersonal connections are key to understanding where risk can be found – arming the compliance group with insight into communications patterns supplemented with a compelling measure of how well people know each other. Doing so allows the firm to map behaviors, activities, and relationships to uncover potential high-risk behaviors.”

The solution includes a policy-based surveillance engine, relationship forensics, and simple tools to manage items of interest including case management and an investigation toolset. It employs machine learning and natural language processing that allow compliance teams to quickly and defensibly close alerts. Communications can be stored for the long-term in the compliant archive within ComplianceAlpha1.

ACA’s ComplianceAlpha is a fully integrated, holistic regulatory risk and compliance management platform that provides a single view into all activities that could put firms at risk, coupled with ACA’s market expertise and hands-on services. In total, ACA offers a full complement of technology and services to serve financial firms of all sizes and complexity to solve current surveillance requirements and address market evolution.

The enhancements represent the next evolution of ACA Group’s ComplianceAlpha platform after the acquisition of Catelas back in September 2021, and the integration of its machine learning-based electronic communications (eComms) surveillance and investigations platform. ACA Group offers an eComms Surveillance Software module as part of the ComplianceAlpha suite.

About ACA ComplianceAlpha

With ComplianceAlpha, firms gain an award-winning integrated RegTech solution to build a scalable and resilient compliance program. ComplianceAlpha® offers a range of complimentary modules, allowing firms to customize the solution to meet their needs. These include Employee Compliance, Market Abuse Surveillance, Control Room, eComms Surveillance, Marketing Review, Compliance Management, AML KYC/CIP, and eLearning. 

In addition to RegTech solutions, ACA Group helps financial services firms globally to reimagine their governance, risk and compliance (GRC), by providing regulatory, cyber, ESG, regulatory hosting and distribution, and performance advisory support, alongside dedicated and flexible managed services.

Media contact:

U.S. – BackBay Communications

Malea Lydon

Europe – Aspectus Group

Kirsten Scott

About ACA Group

ACA Group (ACA) is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates advisory, managed services, distribution solutions, and analytics with our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

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1 To meet rules including:

  • Rule 17a-3 (and Rule 17a-4) under the Securities Exchange Act of 1934, and these rules apply to broker-dealers as well as books and records requirements under the Advisers Act, Advisers Act Rule 204-2, and under the Investment Company Act of 1940 (for mutual funds) under Rule 31a-2.
  • FCA’s SYSC 10A.1.6R / MiFID Article 16(7) around obligations and organisational requirements for telephone and electronic communications