Regulatory 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

Russell Investments Selects ACA Group’s ComplianceAlpha to Modernize Their Risk and Compliance Program from a Single Platform

March 18, 2021

Russell Invesments has selected ACA's ComplianceAlpha® to help modernize and streamline their compliance program.

News
  • ComplianceAlpha
  • Regulatory Technology
  • ACA News
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2021 Regulatory Reminders and Upcoming Deadlines for European firms

February 15, 2021

A summary of key tasks for compliance teams with a European presence, along with a summary of FCA’s priorities during 2021, our analysis of key regulatory developments and an outline of longer-term trends.

Article
  • Compliance
  • Brexit
  • Cybersecurity
  • Regulatory Technology
  • Mirabella
  • ESG
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Key Trends and Forces Shaping Risk and Compliance Management in 2021: Report

January 20, 2021

ACA's Carlo di Florio discusses the financial industry trends and broader forces impacting risk and compliance management in 2021.

Article
  • Compliance
  • RiskMutation
  • Regulatory Technology
  • Cybersecurity
compliancealpha on laptop on desk with christmas tree in background

2020 RegTech News, Insights, and ComplianceAlpha® Updates You May Have Missed

December 17, 2020

Firms are turning to technology at a record rate thanks in large part to the pandemic, and regulators worldwide continue to prioritize technology innovation and data. We've curated a roundup of notable alerts and insights from ACA's experts as well as ComplianceAlpha enhancements to help you catch up and prepare for a successful 2021.

ComplianceAlpha Update
  • Regulatory Technology
  • RiskMutation
ComplianceAlpha on laptop and mobile device with logo in background

Introducing Enhanced Analytics and Surveillance Capabilities in ComplianceAlpha 2.5

November 17, 2020

ComplianceAlpha 2.5 includes new features designed to provide firms globally with deeper insights into potential risk and opportunity across the enterprise.

ComplianceAlpha Update
  • Regulatory Technology
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RiskMutation™ Strategic Roadmap: Integrating RegTech

October 29, 2020

RegTech can help firms navigate the future of risk and compliance in the age of RiskMutation™ by transforming risk and compliance functions while delivering cost savings. Get our RegTech strategic roadmap here.

Article
  • Regulatory Technology
  • RiskMutation

On demand regulatory technology webcasts