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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Strengthen Your AML Program

Firms need to be proactive in their approach to AML and sanctions compliance. Following this checklist can create a good foundation for an effective program.

Article
  • AML and Financial Crime
  • RegTech
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Advisory Firm Settles Cherry Picking Fraud Charges With the SEC

This case should give pause to firms of all sizes to evaluate what they are doing to proactively detect potential market abuse on their own.

Compliance Alert
  • RegTech
  • ComplianceAlpha
  • SEC
  • Compliance
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Lessons Learned From Recent AML Enforcement Actions

By analyzing recent cases, institutions can identify regulatory trends and enhance their compliance framework to mitigate potential risks.

Article
  • AML and Financial Crime
  • ComplianceAlpha
  • RegTech
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Regulatory Enforcement of Off-Channel Communications

The U.S. SEC has charged 11 financial firms for failing to maintain electronic communications, imposing penalties of over $289 million. This is part of a broader crackdown, with previous cases involving similar charges and penalties exceeding $1.5 billion, raising industry concerns about proper recordkeeping.

Compliance Alert
  • SEC
  • Compliance
  • RegTech
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ACA Launches Best Execution Solution to Address Global Regulatory Requirements

New Software-as-a-Service solution includes quantitative and qualitative data analysis and reporting capabilities for enhanced compliance assurance

ComplianceAlpha Update
  • ACA News
  • RegTech
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ACA Group Enhances Surveillance Capabilities for Off-Channel Communications to Navigate Rising Regulatory Scrutiny

New partnership with LeapXpert will help financial firms surveil multiple messaging channels to meet client expectations while ensuring regulatory compliance.

Press Release
  • RegTech
  • ACA News
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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