RegTech Insights

Our RegTech professionals develop resources and insights to help investment adviser firms understand how technology can aid risk and compliance management and how to incorporate RegTech into their own programs. Below are our most recent insights.

Latest RegTech insights

London financial district skyscrapers looking upward

The FCA Reminds Firms of the Importance of Data and Algorithmic Governance in Market Abuse Surveillance 

In its Market Watch 79, the FCA issued a reminder to firms about the perils of data issues and poor algorithmic governance in tools used for market abuse surveillance. 

Compliance Alert
  • Compliance
  • FCA
  • Trade Surveillance
  • RegTech
  • ComplianceAlpha
Blue and orange streaks of light

Strategies to Transform Your Compliance Program with Technology - #6: Regulatory Priorities

Prioritize automation using the regulators’ priorities.

Article
  • RegTech
  • ComplianceAlpha
ecomms surveillance

Communications Surveillance Program Best Practices

Surveillance requirements are as varied as the firms which deploy these tools. Our Surveillance Program Gap Analysis Checklist helps compliance officers to work through their requirements.

Article
  • RegTech
  • ComplianceAlpha
  • eComms Surveillance
2024 ACA Conference

Highlights From the 2024 ACA Conference

As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.

News
  • Compliance
  • RegTech
  • Cybersecurity
  • ESG
  • Performance
  • Managed Services
  • SEC
Blue and orange streaks of light

Strategies to Transform Your Compliance Program with Technology - #5: Tech-enablement

Adopting new technology is a great opportunity to review your compliance program’s processes and make improvements.

Article
  • RegTech
  • ComplianceAlpha
Blue and orange streaks of light

Strategies to Transform Your Compliance Program with Technology - #4: Planning

Plan your technology implementation thoughtfully, step by step.

Article
  • RegTech
  • ComplianceAlpha
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RegTech in Action


Our demo series showcasing ComplianceAlpha in individual, click-by-click demos. In 30 minutes or less, you will see our RegTech in Action and how it can elevate your daily compliance functions. 

 

On demand RegTech webcasts

ComplianceAlpha® 2021Q2 Demo

Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.

Webcast