Technology Insights

Firms are turning to technology at a record rate thanks in large part to the pandemic. According to industry analyst Greenwich Associates58% of firms invested in third-party surveillance technology in 2020almost double from the same period in 2019. This is supported by the findings in Thomson Reuters' Fintech, RegTech and the Role of Compliance Report 2021: of the 400 compliance and risk practitioners surveyed, 70% said the pandemic has increased their reliance on technology.

But while firms are making progress with the digitization of their compliance programs, there is still work to be done: a recent OCIE Risk Alert noted technology gaps as an area of deficiency in investment adviser compliance programs.

Our regulatory technology professionals develop resources and share insights to help firms understand the impact of technology on risk and compliance and how they can best incorporate technology into their own programs. Below are our most recent insights.

Watch our on demand demo of ComplianceAlpha 2021Q2

ComplianceAlpha 2021Q2 introduces new features and sophisticated 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.

Latest insights

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Q1 2022 Regulatory Reporting Deadlines

Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from January through March 2022.

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  • Compliance
  • Regulatory Technology
  • Regulatory Deadlines
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ACA's Top 10 Webcasts of 2021

As 2021 winds down and we prepare for the new year, we thought we would take a moment to look back at our most popular webcast topics of 2021.

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  • Compliance
  • Performance
  • ESG
  • Cybersecurity
  • Regulatory Technology
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Key Takeaways from 1LoD’s Voice Surveillance Deep Dive Report 2021

With more employees working out of their homes, how can financial services firms best balance the demands of regulators with legal concerns like privacy and employment laws, all while building a culture of trust among employees? This was the topic of discussion at 1LoD’s 2021 Deep Dive forum on voice surveillance.

Report
  • Regulatory Technology
  • eComms Surveillance
  • Trade Surveillance
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Best Practices for Managing the Latest Trends and Challenges Related to Market Abuse Surveillance

ACA Group’s Eddie Cogan, recently joined A-Team Insight’s Sarah Underwood for a fireside chat where they discussed the latest trends and challenges related to market surveillance, the best practices for addressing these challenges, where firms should start, and how technology can help.

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  • Regulatory Technology
  • eComms Surveillance
  • Trade Surveillance
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Review and Enhance Your Holistic Surveillance Program: A Year-End Checklist

As you approach year-end and budget season, it’s a good time to review your surveillance program and determine what enhancements may be needed.

Article
  • Regulatory Technology
  • Trade Surveillance
  • eComms Surveillance
  • Personal Account Dealing

ACA Group Selected as a RegTech100 Company for 2022

ACA is delighted to be counted among the 100 most innovative RegTech companies in the financial industry.

News
  • ACA News
  • Regulatory Technology

On demand regulatory technology 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