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

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What Investment Advisers Need to Know about the SEC's Recent Insider Trading Case Focused on "Shadow Trading"

The SEC recently charged a former employee of a biopharmaceutical company with "shadow trading", a form of insider trading. Learn more about this case, compliance implications, and our advice on what advisers can do to protect themselves.

Compliance Alert
  • ComplianceAlpha
  • Compliance
  • Trade Surveillance
  • RegTech
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Key Takeaways from 1LoD’s Trade Surveillance Deep Dive Report 2021

Industry analyst 1LoD recently hosted a two-day Deep Dive on the future of trade surveillance. Attendees were from all over the globe and represented financial institutions (78%), technology firms (19%), and regulators (2%). ACA’s Michael Lehman, Partner and product manager for ACA’s Market Abuse Surveillance technology in ComplianceAlpha®, spoke at the event.

Report
  • RegTech
  • Trade Surveillance
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Achieving Differentiated Support for Private Equity Firms

Fundraising and compliance challenges are expected to increase for private equity firms in the second half of 2021 into 2022. We speak with Private Equity Wire about why support that blends practical and regulatory advice is becoming critical.

Article
  • Compliance
  • ComplianceAlpha
  • ESG
  • Cybersecurity
  • RegTech
  • Mirabella
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Waters Rankings 2021 Name ACA Group's ComplianceAlpha® Best Anti-Money Laundering Compliance Solution Provider

Our ComplianceAlpha® platform has been named Best Anti-Money Laundering Compliance Solution Provider in the Waters Rankings 2021.

Press Release
  • RegTech
  • ACA News
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Q3 2021 Regulatory Reporting Deadlines

Regulatory filing submission deadlines for the SEC, CFTC/NFA, and ESMA occurring from July through September 2021

Article
  • Compliance
  • Regulatory Deadlines
  • RegTech
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ACA's Regulatory Reporting Monitoring & Assurance (ARRMA) service winner of the 2021 HFM European Technology Awards

Within a year of launching, ACA Group is delighted to announce that our ACA Regulatory Reporting Monitoring & Assurance (ARRMA) service has been selected as Best Regulatory Reporting Solution in the 2021 HFM European Technology Awards.

News
  • RegTech
  • Trade & Transaction
  • ACA News
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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®.

Webcast