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

The Next Generation of ComplianceAlpha is Here!

October 01, 2019

We’re excited to announce the launch of ComplianceAlpha® 2.0, our next-generation software platform designed to help your firm strengthen and streamline risk and compliance management across the enterprise from a single location.

ComplianceAlpha Update
  • Regulatory Technology

ACA Compliance Group Launches Holistic Surveillance Solution for Financial Services Firms

September 25, 2019

ACA’s holistic surveillance solution brings together ACA’s established surveillance services and technology solutions in a comprehensive package designed to help firms meet the surveillance expectations of regulators as well as to replicate their technological capabilities.

Press Release
  • Trade Surveillance
  • Compliance
  • Regulatory Technology
  • ComplianceAlpha

Coming Soon: ComplianceAlpha 2.0 and Our New Employee Compliance Solution!

September 11, 2019

We’re putting the finishing touches on ComplianceAlpha 2.0, our next-generation compliance and risk management platform. We can’t wait to share what we’ve built to help your firm bring its compliance program to the next level.

ComplianceAlpha Update
  • Regulatory Technology

FlexTrade Partners with ACA Technology to Provide Data On-Demand for Trade Surveillance

August 23, 2019

ACA and FlexTrade have partnered to help their mutual clients manage their trade surveillance and compliance needs using ACA's trade surveillance technology and FlexNow.

Press Release
  • Regulatory Technology
  • Trade Surveillance

6 Hot Topics in Employee Compliance

August 05, 2019

Is your code of ethics monitoring and personal trade surveillance compliance program built to beat the heat? This blog post recaps our recent webcast on this topic and provides best practices for navigating complex and evolving areas of compliance management, including cryptocurrency, pay-to-play, robo-advisors, and more.

Article
  • Regulatory Technology

ACA Compliance Group Announces Enhanced Trade Blotter Review Analysis Powered by ACA’s Decryptex Market Abuse Surveillance Technology

June 07, 2019

ACA's automated trade blotter review tool helps SEC-registered investment adviser clients keep pace with the SEC’s enhanced use of technology to detect insider trading, market abuse, and other potential misconduct.

Press Release
  • Regulatory Technology
  • Trade Surveillance

On demand regulatory technology webcasts