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

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SEC Unauthorized Electronic Communications Sweep Key Takeaways

The SEC has become increasingly concerned with the risks arising from employees’ increasingly wide-spread use of mobile electronic communications apps to conduct business. Learn about the risks and how private fund managers can more effectively track, archive, and surveil their employees’ business-related communications across all communication channels being utilized.

Article
  • Compliance
  • SEC
  • RegTech
  • ComplianceAlpha
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ACA Group Selected as an AIFinTech100 Company for 2022

ACA Group has been named one of the 100 most innovative AIFinTech companies in the financial industry by FinTech Global.

News
  • ACA News
  • RegTech
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Future-Proofing Compliance Best Practices with Technology

Shifting demands in regulators on financial services firms have elevated the importance of compliance to best practices. Learn what compliance officers are focused on in their surveillance processes.

Article
  • RegTech
  • ComplianceAlpha
  • Compliance
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WatersTechnology Survey Report: Compliance Technology Challenges, Opportunities and What Firms Want

Download the whitepaper for key findings from a recent data and analytics survey carried out in conjunction with WatersTechnology.

Report
  • RegTech
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ComplianceAlpha Solves for MNPI and Code of Ethics Deficiencies

The SEC recently released a risk alert highlighting deficiencies in the areas of MNPI and the Code of Ethics Rule.

Article
  • RegTech
  • Compliance
  • ComplianceAlpha
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ACA Group Wins Best Solution for Managing Operational Risk - Europe by RegTech Insight 2022

ACA is honored ComplianceAlpha was voted Best Solution for Managing Operational Risk in the RegTech Insight Awards 2022 Europe.

News
  • ComplianceAlpha
  • RegTech
  • ACA News

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