ComplianceAlpha® 2021Q2 Demo
Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.
Webcast
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
WatersTechnology Survey Report: Compliance Technology Challenges, Opportunities and What Firms Want
Download the whitepaper for key findings from a recent data and analytics survey carried out in conjunction with WatersTechnology.
Report
- RegTech
ComplianceAlpha Solves for MNPI and Code of Ethics Deficiencies
The SEC recently released a risk alert highlighting deficiencies in the areas of MNPI and the Code of Ethics Rule.
Article
- RegTech
- Compliance
- ComplianceAlpha
ACA Group Wins Best Solution for Managing Operational Risk - Europe by RegTech Insight 2022
ACA is honored ComplianceAlpha was voted Best Solution for Managing Operational Risk in the RegTech Insight Awards 2022 Europe.
News
- ComplianceAlpha
- RegTech
- ACA News
FCA Market Watch 69: Focus on Market Conduct and Transaction Reporting
The regulator discusses firms’ arrangements for market abuse surveillance - drawing on their observations from engaging with small and medium-sized firms.
Compliance Alert
- Compliance
- RegTech
- FCA
- Trade & Transaction
- Trade Surveillance
- ComplianceAlpha
6 Strategies for Digitizing Your Compliance Program
This guide provides the strategies, insights, and resources for tech-enabling your compliance program and transforming it into a progressive powerhouse.
Article
- RegTech
- ComplianceAlpha
Regulatory Technology Trends to Watch for in 2022
We’ve compiled the top technology-related trends, insights, and resources compliance leaders need to know to maintain an efficient and effective compliance program.
Article
- RegTech
- Compliance
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
Leveraging New Technology for Side Letter and Legal Document Management
Join us for a live webcast as we discuss the intricacies and challenges for financial firms associated with the volume and complexity of side letter and legal document management and demonstrate how ACA's new technology solution can help.
Webcast
Regulatory Spotlight: The Heightened Focus on Insider Trading and Market Abuse Due to COVID-19
Join ACA as we discuss the current regulatory climate and what firms need to know to protect their business.
Webcast