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

COVID-19 Has Regulators Homing in on Insider Trading and Market Abuse – Is Your Surveillance Program Ready for Increased Scrutiny?

July 01, 2020

Download our surveillance gap assessment checklist to see how your program measures up.

  • Regulatory Technology
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Code of Ethics Concerns and Best Practices in Times of Market Volatility

April 28, 2020

With the current market volatility and the “new normal” of remote work, firms should ensure their Code of Ethics program is adjusted to comprehensively monitor for the new employee risks brought about by this environment. In this blog post, we share what concerns firms have regarding their Code of Ethics, as well as best practices for enhancing your firm's Code of Ethics program.

  • Regulatory Technology

Mitigating Employee Risks Related to the COVID-19 Pandemic

March 25, 2020

The coronavirus (COVID-19) pandemic is drastically changing how firms conduct business. These changes are creating a new set of risks and challenges for firms, particularly as relates to firms’ employees.

  • Regulatory Technology

Introducing Insider Trading and Market Abuse Surveillance for Personal Trading Data in ComplianceAlpha

February 12, 2020

Clients of ACA’s Employee Compliance solution in ComplianceAlpha® can now receive Items of Interest (IOI) for potential insider trading and market abuse related to employees’ personal trading activity.

ComplianceAlpha Update
  • Regulatory Technology

Key Takeaways for Buy-Side Firms from 1LoD’s 2020 Surveillance Benchmarking Survey & Report

February 10, 2020

Our key takeaways from 1LoD's 2020 Surveillance Benchmarking Survey & Report for buy-side firms.

  • Regulatory Technology

Global Regulators Renew Commitment to Data and Analytics Innovation in 2020

January 13, 2020

With the New Year comes the global regulators’ announcements of their supervisory priorities and focus areas for the year ahead. Both the SEC and FCA have issued press releases regarding their views on technology and the role it plays in regulatory oversight.

Compliance Alert
  • Regulatory Technology

On demand regulatory technology webcasts