Automating Expert Network Compliance with AI
ACA has released Pre-Call Screening, a new feature within its Research Compliance Solutions suite powered by Encore AI. This innovation helps investment firms automate the compliance review and approval of experts before expert network calls, addressing a long-standing operational and compliance challenges.
Automating a Manual, Fragmented Process
Expert network compliance has traditionally required firms to work across multiple vendor platforms, apply internal policies, and consolidate reporting across disparate systems. Pre-Call Screening within Research Compliance Solutions replaces that manual effort with a centralized workflow and an AI-driven policy engine.
This feature enables firms to:
- Automate expert compliance reviews and approvals across multiple networks
- Apply consistent compliance logic
- Generate consolidated reports without manual intervention
- Supporting Global Regulatory Compliance
Research Compliance Solutions is designed for hedge funds, private equity firms, and asset managers, particularly compliance officers managing expert network activity. It helps firms address applicable requirements and expectations from regulators such as the SEC, FINRA, CFTC, and FCA while streamlining oversight.
Learn More
Ready to streamline your expert network compliance? ACA’s AI-powered Research Compliance Solutions and managed services are built to simplify operations and reduce risk.
Reach out to your ACA representative or contact us to schedule a demo.