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

highway at night from overhead

From Policy to Practice: Building an Effective Firm-Wide Regulatory Surveillance Program

We’ve developed a comprehensive checklist to help you assess the effectiveness of your compliance oversight, monitoring, and surveillance programs.

Article
  • RegTech
  • eComms Surveillance
  • Trade Surveillance
green and blue digital image

Best Practices to Prepare for the SEC’s Continued Scrutiny of Business Communications

Firms must demonstrate to the regulator that they have a reasonably-designed, proactive program in place.

Article
  • eComms Surveillance
  • RegTech
  • SEC
purple abstract digital

Monitoring Employees’ Personal Trading - When Brokerage Statements Matter

The best way to track employees’ personal trading is by using RegTech that automatically monitors for parameters set up by the compliance team. However, this technology is not always available.

Article
  • RegTech
  • ComplianceAlpha
  • Compliance
highway at night from overhead

ACA’s Most Popular Webcasts of 2024

ACA’s Most Popular Webcasts of 2024

Article
  • RegTech
  • ComplianceAlpha
  • eComms Surveillance
  • Cybersecurity
  • Performance
highway at night from overhead

Lessons learned about vendor management from Santa’s workshop

Santa’s workshop offers valuable insights for vendor management in the financial industry. With careful planning, continuous oversight, and high standards, firms can mitigate risks, enhance performance, and achieve seamless results.

Article
  • Managed Services
  • RegTech
  • Compliance
New York City from above at twilight

ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year

ACA Group Recognized as RegTech100 Company for Fifth Consecutive Year

News
  • RegTech
  • ACA News
waves edited

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