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 Strategic Plan: More Enforcement, More Rules, and More Technology

The SEC issued its four-year strategic plan for 2022-2026. We summarize the goals of the plan and explore what it means for the next four years.

Compliance Alert
  • Compliance
  • SEC
  • Cybersecurity
  • ESG
  • RegTech
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The Global GRC Risks of Unauthorized Business Communication Channels

Communication has always been integral to the investment world and, as technology evolves and expands, the need for adequate and equally evolved surveillance mechanisms has grown. More widespread use of mobile apps and communication tools such as WhatsApp became increasingly prevalent during the various COVID lockdowns as professionals sought to maintain connection with one another. Habits are quickly formed, and so convenient mobile app usage has become an integrated part of work communications.

Compliance Alert
  • Compliance
  • RegTech
  • ComplianceAlpha
  • FCA
  • SEC
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SEC Sends $1.1 Billion Warning to Financial Firms that Ignore Record-keeping Requirements

$1.1BN of fines were recently issued to sixteen high-profile financial services firms for communication failings, with more regulatory enforcement expected. Learn more about what this means for SEC-registered firms around the world.

Article
  • Compliance
  • RegTech
  • SEC
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ACA Group Expands Electronic Communications Surveillance Capabilities in ComplianceAlpha Platform

The enhancements to ACA’s eComms surveillance technology include relationship forensics, machine learning, and an integrated archive to enable more effective internal investigations

Press Release
  • ACA News
  • eComms Surveillance
  • RegTech
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Electronic Communications Recordkeeping Failures Cost Large Firms More than $1.1 Billion

The SEC fined 16 firms for failure to capture certain communications, and failure to supervise their employees by not detecting or preventing the use of unapproved devices. Find out what you need to know.

Compliance Alert
  • eComms Surveillance
  • Compliance
  • RegTech
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Russell Investments Selects ACA Group’s ARRMA Service to Enhance Regulatory Reporting

Leading global investment solutions firm chooses ACA’s ARRMA (ACA Regulatory Reporting Monitoring & Assurance) service to help manage its MiFIR and EMIR transaction reporting arrangements.

Press Release
  • Compliance
  • Trade & Transaction
  • RegTech
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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