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

6 Hot Topics in Employee Compliance

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

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

ACA Expands Regulatory Technology and Service Offerings in Europe

ACA Technology Solutions is pleased to announce our expanded regulatory technology and service offerings for our Europe clients.

Press Release
  • Regulatory Technology

RegTech Podcast: Innovation in Compliance with Tom Fox featuring ACA's Patrick Conroy

Highlights and link to the Innovation in Compliance with Tom Fox podcast episode, Nimble and Strategic Compliance: A Conversation with Patrick Conroy. Fox and ACA's Conroy discuss a range of topics related to regulatory technology (RegTech).

Article
  • Regulatory Technology

ACA Announces Version 3.5 of ACA’s Decryptex Surveillance Technology

Key features include new and enhanced algorithms, vendor integrations for expert network or meeting calendar information, reporting enhancements, and user interface improvements.

Press Release
  • Regulatory Technology
  • Trade Surveillance

Addressing the Rising Cost of Non-Compliance with RegTech

We discuss how regulators' advances in tech are supporting their ever-broadening scope of responsibility, resulting in increased enforcement actions and fines. In this landscape, RegTech is no longer a "nice to have" for investment firms, but an imperative.

Article
  • Regulatory Technology

On demand regulatory technology 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