ComplianceAlpha® 2021Q2 Demo
Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.
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.
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.
Having a knowledgeable, engaged business partner behind you will help ensure that technology is implemented effectively and adopted successfully.
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.
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.
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.
By analyzing recent cases, institutions can identify regulatory trends and enhance their compliance framework to mitigate potential risks.
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.
Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.
Join us for a live webcast as we discuss the intricacies and challenges for financial firms associated with the volume and complexity of side letter and legal document management and demonstrate how ACA's new technology solution can help.
Join ACA as we discuss the current regulatory climate and what firms need to know to protect their business.