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

ecomms surveillance

Tip for Updating Your Compliance Program: Electronic Communications

The SEC will investigate advisers' use of electronic communication platforms. Advisors should review policies, poll employees, test email domains, and train staff to avoid penalties.

Article
  • eComms Surveillance
  • Compliance
  • RegTech
regtech

ACA Awarded Most Innovative Trade Surveillance Solution

ACA Group is proud to be recognized for most innovative trade surveillance solution at this year’s A-Team Innovation awards announced March 23, 2023.

News
  • ComplianceAlpha
  • RegTech
  • ACA News
  • Trade & Transaction
Symmetrical structures

The Importance of Insider Trading Controls for Private Markets

The risk of involvement in insider trading has intensified for private markets fund managers, who often underestimate their exposure to insider information.

Article
  • Managed Services
  • Compliance
  • RegTech
  • ComplianceAlpha
spark

ACA's Top White Papers of 2022

We wanted to take a moment to look back at our most popular white papers of 2022 and the advice they provide for financial firms.

Article
  • Compliance
  • Cybersecurity
  • Managed Services
  • ESG
  • RegTech
  • ComplianceAlpha
  • Performance
top down roads

SEC Highlights Risks of Unapproved Communications via Mobile Apps

The SEC's enforcement actions against a private fund manager and its founder for alleged failures to track and surveil business-related communications highlights why using comprehensive and cutting-edge regulatory technology software tools is no longer an optional best practice.

Article
  • Compliance
  • ComplianceAlpha
  • RegTech
  • Managed Services
  • SEC
regtech

ACA Group Selected as a RegTech100 Company for 2023

We are delighted to be named one the 100 most innovative RegTech companies in the financial industry by FinTech Global and RegTech Analyst for the 5th time!

News
  • ACA News
  • 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