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

ACA's Enhanced AML KYC/CIP Solution is Here

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

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

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

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

Article
  • Regulatory Technology
  • COVID-19
  • Trade Surveillance
  • Personal Account Dealing
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Code of Ethics Concerns and Best Practices in Times of Market Volatility

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.

Article
  • Regulatory Technology
  • COVID-19
  • Trade Surveillance
  • Personal Account Dealing

Mitigating Employee Risks Related to the COVID-19 Pandemic

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.

Article
  • Regulatory Technology
  • COVID-19

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

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

On demand regulatory technology 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