ComplianceAlpha® 2021Q2 Introduces New Features for Marketing Reviews, Legal Documents, eLearning, and More

Publish Date


ComplianceAlpha Update


  • Regulatory Technology
  • ComplianceAlpha

We’re excited to announce the latest innovations for ComplianceAlpha® designed to help our clients build stronger, more effective compliance programs. ComplianceAlpha 2021Q2 includes new features and technology such as natural language processing (NLP) for marketing reviews and legal document tracking (side letters and NDAs), a new integrated eLearning solution, and more.

Please join us for a live demo of these features on Tuesday April 27 at 11:00 AM ET / 4:00 PM BST.

Register Here

New features at a glance

Enhanced Marketing Review Solution

We’ve added an extensive new feature set and sophisticated automation technology to help firms automate and enhance their processes for reviewing and approving marketing materials and financial promotions. Key features include:

  • support for audio and video files and Microsoft® Office® documents
  • the ability to create a library of disclosures/disclaimers and definitions for tracking and validation
  • a new rules engine for creating flexible inclusion/exclusion rules
  • automated file searches and rules validation leveraging optical character recognition (OCR), multi-lingual text transcription, and natural language processing (NLP)
  • and more
Marketing Review Solution video thumbnail

Download our Marketing Review Solution product sheet to learn more.

Legal document tracking (side letters and NDAs)

The ability to track legal document provisions as well as associated compliance activities and evidence for side letters and NDAs is now available as an add-on feature for the Compliance Management Solution. The functionality leverages NLP technology to automatically parse provisions from documents, including scanned documents.

Join our upcoming webcast Leveraging New Technology for Side Letter and Legal Document Management on April 21 at 11:00 AM ET / 4:00 PM BST. Register here

Download our Compliance Management Solution product sheet to learn more.

New eLearning Solution

This release introduces a new solution for centralizing and managing employee training requirements. Features include:

  • Access to ACA’s online training modules from the ComplianceAlpha website or mobile app, including ACA’s proprietary Insider Awareness Training, AML and Counter-Terrorism Financing, and Cybersecurity training modules, amongst others
  • Ability to track attendance of in-person training courses for record-keeping purposes
  • Ability to upload proprietary or third-party training content (PDF/MP4 format or eLearning standard content such as SCORM/AICC/xAPI)
  • Optional access to premium partner training content for HR compliance and key business skills

New Win/Loss algorithm for trade surveillance

The new MNPI: Win/Loss Ratio algorithm for our Market Abuse Surveillance Solution searches for patterns of suspicious winning trades ahead of public market events based on access to material non-public information (MNPI) related to the events. The algo is designed to closely align with the SEC’s Division of Enforcement’s ARTEMIS technology for identifying and assessing suspicious trading.

Download our Market Abuse Solution product sheet to learn more.

Ability to create p​​re-defined screening lists for IPOs

Our Employee Compliance Solution now includes integrated data feeds for open/active IPOs and the ability to create pre-defined IPO screening lists for trading/approval workflows (e.g., auto-rejection of trade requests in IPOs).

Download our Employee Compliance Solution product sheet to learn more.

Join our live demo webcast on April 27

Join us Tuesday April 27 at 11:00 AM ET / 4:00 PM BST for a live demo of the latest new features in ComplianceAlpha.

Register Here

Register for ACA's Spring 2021 Virtual Conference

Have you secured your spot for ACA’s Spring 2021 Virtual Conference happening May 18-May 20? This spring’s agenda features sessions and breakouts dedicated to ComplianceAlpha and hot topics in regulatory technology. Spaces are limited, so register today

The conference is free to attend for ACA clients. Please reach out to your ACA consultant for your discount code.

About ComplianceAlpha

ComplianceAlpha is ACA’s award-winning regulatory technology platform that integrates risk and compliance activities, automated surveillance, ongoing monitoring, flexible workflows, enhanced analytics, and managed services delivery. ComplianceAlpha is used by 800 leading financial services firms worldwide to build more scalable and resilient compliance programs.

ComplianceAlpha is designed, developed, and supported by ACA’s experienced team that includes over 200 former regulators and compliance officers in addition to subject matter experts in cybersecurity, performance, and technology. We work closely as a team to develop and deliver valuable and timely solutions to our clients’ most pressing challenges.

For questions or to request a demo of ComplianceAlpha, please reach out to your ACA consultant, or contact us here.

Request a Demo

If you are a ComplianceAlpha client, please contact your ACA Customer Success representative for more information about these features.