Trusted AI and Technology Solutions for Regulatory Compliance

Regulatory compliance technology solutions are software tools designed to help financial services firms meet regulatory requirements, monitor risk, maintain records, and demonstrate adherence to global regulations from the SEC, FINRA, FCA, ESMA, MAS, and others.

Compliance technology helps firms:

• Reduce manual effort and human error
• Keep pace with evolving global regulatory requirements
• Gain audit-ready records and system logs
• Improve visibility and oversight across teams
• Mitigate regulatory risk and avoid costly penalties
• Meet investor and board expectations for modern, technology-driven compliance programs

Yes. ACA clients often realize ROI through:

• Fewer manual hours due to automation
• Reduced regulatory exposure and enforcement risk
• Shorter compliance review and approval cycles
• Improved reporting to internal stakeholders and regulators

These benefits lead to better compliance outcomes and greater operational efficiency.

ComplianceAlpha is ACA’s award-winning regulatory technology (RegTech) platform that helps financial firms manage governance, risk, and compliance (GRC) more efficiently. It integrates and centralizes multiple compliance functions—from surveillance to marketing review to KYC and code of ethics—into a single ecosystem.

ComplianceAlpha offers a comprehensive suite of solutions, including:

• AML/KYC/CIP Compliance Tools
• Compliance Management
• Control Room
• Cybersecurity and Risk Technology
• eComms Capture, Archive, and Surveillance
• Employee Compliance
• eLearning and Training Management
• Market Abuse Surveillance
• Marketing and Financial Promotions Review
• Transaction Cost Analysis

Yes. The platform is scalable and modular, making it ideal for firms of any size, from boutique asset managers to global investment firms. Firms can implement select modules and expand as needed.

ComplianceAlpha is built on open architecture for seamless integration with internal systems like HR systems, CRMs, trading platforms, and more—enabling firms to extend value without disrupting existing operations.

We deliver regular updates based on regulatory developments and client feedback. Enhancements are released to improve functionality, user experience, and compliance readiness.

Yes. We pair several modules—such as Marketing Review, KYC, Employee Compliance, and eComms Surveillance—with managed services support. Our experts help monitor alerts, managed workflows, and strengthen program oversight.

ComplianceAlpha^® supports regulatory exam prep with centralized documentation, WORM (Write Once, Read Many)-compliant recordkeeping, and audit trails that provide transparent, regulator-ready evidence of compliance activity.

Our implementation team guides firms through onboarding, configuration, and training, and offers continuous technical and compliance support to ensure successful adoption and long-term impact.

Yes. ComplianceAlpha is a secure, cloud-based platform that complies with SOC 2, GDPR, and other standards. It features encryption in transit and at rest, audit logging, and role-based access controls to safeguard your firm’s data.

Pricing is customized based on your firm’s size, regulatory needs, and the modules selected. Contact us for a tailored quote.