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

ComplianceAlpha on laptop and mobile device with logo in background

RegTech Quarterly Update: Q3 2020

October 23, 2020

Quarterly recap of regulatory news and ACA insights related to RegTech from this past quarter, as well as what's new and coming soon to ComplianceAlpha.

ComplianceAlpha Update
  • Regulatory Technology
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Revisiting Best Practices for Trade and Market Abuse Surveillance (Downloadable Checklist)

October 22, 2020

We examine recent regulatory events around trade surveillance and market abuse and provide best practices that can be applied to your firm’s surveillance program.

Article
  • Regulatory Technology
  • COVID-19
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Increase Employee Compliance with ACA's Political Contributions Monitoring in ComplianceAlpha

October 15, 2020

This new feature is designed to provide an efficient and cost-effective solution for identifying and investigating potential conflicts of interest while meeting your firm's regulatory obligations under relevant pay-to-play regulations.

ComplianceAlpha Update
  • Regulatory Technology
  • RiskMutation

Next Generation Compliance: Unified Data and Integrated Dashboards

October 14, 2020

Risk and compliance officers today are faced with an unprecedented level of complexity and change.

Article
  • Regulatory Technology
  • RiskMutation

ACA's Enhanced AML KYC/CIP Solution is Here

October 13, 2020

The solution combines ACA’s regulatory technology (RegTech) and managed services to provide our clients with a full-service, cost-effective offering for meeting their requirements under various KYC and CIP regulations in the U.S., Europe, and Cayman Islands.

ComplianceAlpha Update
  • Regulatory Technology

ACA's ComplianceAlpha Mobile App is Here - Watch the Video Now

August 18, 2020

We’re excited to launch the mobile version of ACA's ComplianceAlpha risk and compliance management platform to help make compliance easier and more accessible for your firm.

ComplianceAlpha Update
  • Regulatory Technology

On demand regulatory technology webcasts