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

How RegTech Can Enhance Your Firm’s GRC Program: A 4-Step Approach

October 11, 2018

Chief compliance officers (CCOs) and risk and compliance teams know they need regulatory technology to meet ever-increasing regulatory obligations as well as establish best practices for their firm’s governance, risk, and compliance (GRC) program that reduce operational risk and increase operational efficiencies. While the value added by a RegTech solution is clear, understanding the full scope of a GRC technology implementation can be a significant challenge. This blog post explains the four steps you can take to enhance the effectiveness of your firm’s GRC capabilities using technology.

Article
  • Regulatory Technology

Trading Up: Considerations for Developing a 21st Century Trade Surveillance Program

September 27, 2018

The following article written by ACA's Michael Abbriano and Brett Ambrose appeared in the September 2018 National Society of Compliance Professional's Currents newsletter.

Article
  • Regulatory Technology

ACA Technology Incorporates Compliance ELF into ComplianceAlpha

September 12, 2018

ACA expands regulatory technology offerings with Compliance ELF (Employee Level Filing), a code of ethics, personal trading, and employee compliance management solution.

Press Release
  • Regulatory Technology
  • ComplianceAlpha

Recent Developments in the SEC’s Requests Related to MNPI Testing

August 08, 2018

The U.S. Securities and Exchange Commission ("SEC") continues to invest in developing and improving its technology and data analytics capabilities.

Compliance Alert
  • Regulatory Technology

ACA Technology Announces Version 3.0 of ACA's Decryptex Trade Surveillance Solution

June 12, 2018

Key features include integration with ACA’s ComplianceAlpha®, single sign-on (SSO) support, and a redesigned user interface.

Press Release
  • Trade Surveillance
  • ACA News
  • Regulatory Technology

ACA Technology Announces Release of ACA Regulatory Reporting 5.0

March 26, 2018

Key features include a redesigned user interface and the integration of Form 13F with Form PF.

Press Release
  • Regulatory Technology
  • ACA News

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