Join ACA as we discuss the current regulatory climate and what firms need to know to protect their business.
Firms are turning to technology at a record rate thanks in large part to the pandemic. According to industry analyst Greenwich Associates, 58% of firms invested in third-party surveillance technology in 2020, almost 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.
September 20, 2017
The SEC has demonstrated ongoing commitment to developing its technological capabilities for detecting financial crimes is impacting investment advisers across the industry. Here are 5 things investment advisers need to know.
- Regulatory Technology
On demand regulatory technology webcasts
Join ACA as panelists help demystify buzz-worthy technologies, as well as discuss the benefits and how they can be incorporated holistically to drive efficiencies and strengthen your firm’s compliance program.