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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Strategies to Transform Your Compliance Program with Technology - #3: Data

RegTech is about more than just fancy software – it’s also about data structure and integrity.

Article
  • RegTech
  • ComplianceAlpha
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Strategies to Transform Your Compliance Program with Technology - #2: Work Smarter

A blend of technology for automation and managed services for outsourcing can reduce the manual workload and guesswork for you and your team.

Article
  • ComplianceAlpha
  • RegTech
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ACA Group Advancing Beyond Boundaries by Clinching RegTech100 for Innovation and Growth

ACA is thrilled to announce that it has been recognized once again as a RegTech100 company for 2024 by RegTech Analyst.

News
  • ComplianceAlpha
  • RegTech
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Laying the Groundwork for Future Shadow Trading Enforcement

The denial of a summary judgement in the SEC's case against a pharmaceutical company executive opens the door for the SEC to pursue other shadow trading cases.

Compliance Alert
  • RegTech
  • Compliance
  • Trade Surveillance
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Strategies to Transform Your Compliance Program with Technology - #1: Champion(s)

Having a knowledgeable, engaged business partner behind you will help ensure that technology is implemented effectively and adopted successfully.

Article
  • RegTech
  • Compliance
ecomms surveillance

The CFTC Cracks Down on Recordkeeping Failures

The CFTC recently issued an order against an introducing broker and a futures commission merchant for violations of recordkeeping and supervision requirements. However, this is just one instance in the CFTC's crackdown.

Compliance Alert
  • RegTech
  • Compliance
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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