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

AIMA Journal Q4 2021

Holistic Surveillance – To Trading Activity and Beyond

We are delighted to be featured in the latest AIMA Journal, Edition 128 examining the effectiveness and efficiency of holistic surveillance, reasons for its growing adoption, and why regulators expect it as an expedient for preventing fraud.

  • Trade Surveillance
  • eComms Surveillance
  • RegTech
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Breaking Down Surveillance Data Silos to Achieve Risk-360

Key takeaways from the recent AIMA Fund Manager Briefing Webcast on Breaking the Surveillance Silos featuring ACA’s Pat Conroy and Marc Salter.

  • RegTech
  • Trade Surveillance
  • eComms Surveillance
  • Managed Services
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Michael Borts joins ACA Group as the new Chief Technology Officer

Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.

Press Release
  • RegTech
  • ACA News
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Q4 2021 Regulatory Reporting Deadlines

Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from October through December 2021.

  • Compliance
  • Regulatory Deadlines
  • RegTech
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European Regulator Fines Major Trade Repository for EMIR Breaches

The EU’s securities markets regulator, European Securities and Markets Authority (ESMA), recently fined a major trade repository for eight breaches of the European Market Infrastructure Regulation (EMIR). We examine why it’s vital that firms review the quality of their reporting, including where it is being delegated, to be sure it meets regulatory expectations.

Compliance Alert
  • Compliance
  • Trade & Transaction
  • RegTech
2021 Spring Virtual Conference

ACA’s Spring 2021 Virtual Conference: Key Takeaways and Trends

ACA’s Spring 2021 Virtual Conference was an opportunity for the regulatory compliance, performance, and cybersecurity community to come together and discuss the many changes of the past year and what the future of GRC looks like moving forward.

  • Compliance
  • ComplianceAlpha
  • ESG
  • GIPS Standards
  • RegTech
  • Cybersecurity
  • Performance
  • Privacy
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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®.