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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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
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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
highway at night from overhead

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
ACA Annual Conference 2022

Keynote Panel Announced for ACA's 2022 Annual Conference

Join us for a virtual conference for firms with a U.S. presence. We’ll explore hot topics in compliance, performance, cyber, ESG, and RegTech.

News
  • Compliance
  • RegTech
  • ESG
  • Cybersecurity
blue and green digital

SEC Sweep Inquiries and Enforcement Action of Unauthorized eComms

The SEC commenced sweep-style inquiries late last year into how big banks are monitoring, archiving, and safeguarding business-related electronic communications.

Article
  • Compliance
  • eComms Surveillance
  • RegTech
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2022 Regulatory Headwinds: Potential Changes to Securities Laws and Regulations and the Impact on Private Fund Managers

We partnered with Willkie Farr & Gallagher LLP to explore several of the proposed SEC rulemakings that merit special attention for private funds.

Article
  • RegTech
  • Compliance
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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