Regulatory Technology

Build a scalable and resilient compliance program with our integrated regulatory technology and managed services.

See how ComplianceAlpha helps firms achieve better outcomes and economies of scale

Watch our video to see how ComplianceAlpha® integrates risk and compliance activities, surveillance and monitoring, testing, and analytics in one platform to provide you with a unified view of risks and behavior across your firm.

Announcing our new eComms Surveillance Solution

Learn how the integration of Catelas' eComms surveillance technology further enhances the holistic surveillance capabilities of ACA’s RegTech platform.

Our GRC technology + managed services solutions

Our Employee Compliance Solution streamlines the management of your firm’s personal trading surveillance, employee certifications, gift and entertainment requests and disclosures, political contributions, outside business activity reporting, and more.

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Our Market Abuse Surveillance Solution provides automated, in-depth trade surveillance to help your firm identify items of interest and non-compliant trading and investment activity.

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Our eComms Surveillance Solution (formerly Catelas) is an integrated, machine learning-based surveillance and investigations platform that provides global buy- and sell-side firms with a complete view of potential high-risk activities and behavior across their organization from a single platform.

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Our Marketing Review Solution combines smart technology with our dedicated managed services to help firms automate and increase efficiencies for reviewing and approving marketing and advertising materials and financial promotions.

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Our Compliance Management Solution provides a governance, risk, and compliance technology platform for effectively and efficiently managing your firm's compliance program activities and identifying potential issues through automated risk monitoring, compliance activity tracking, up-to-date reference compliance content, reporting, and visual analytics.

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Our AML KYC/CIP Solution is designed to assist your firm in developing and implementing effective AML practices that meet industry best practices and comply with applicable laws and regulations in the U.S., Europe, and Cayman Islands. Our solution combines technology with managed services to help your firm meet its data screening, ongoing monitoring, remediation, and reporting needs.

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Our eLearning Solution provides a centralized platform for your firm's employee training requirements, from course administration through employee completion.

ACA’s Regulatory Reporting Monitoring & Assurance service (ARRMA) is a unique blend of technology with specialist consulting oversight, which helps firms quickly and cost-effectively spot EMIR and MiFIR transaction reporting problems relating to accuracy, completeness and timeliness before they are identified by the regulator.

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ACA has helped us improve our compliance program through the use of sophisticated technology and increased economies of scale, efficiencies, and standardization. ComplianceAlpha has enabled us to build a progressive compliance function that positions compliance as a competitive advantage. We believe this will help us win and retain business as new and existing clients increasingly focus on compliance oversight.

Russell Investments

Why ComplianceAlpha?

Leading Financial Services Clients

1,000+

Over 1,000 clients trust ComplianceAlpha to help protect and grow their business. Our clients' insights and feedback help inform the continuous evolution of our product roadmap.

Former Regulators and Compliance Officers

200+

Over 200 former regulators and compliance officers lend their real-world experience and subject matter expertise to the development of new features.

Reduced Total Cost of Ownership

40%

Our tech + managed services solutions can reduce the total cost of ownership by up to 40% over four years.

On demand 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

Our leadership team

Raj Bakhru

Raj Bakhru

Chief Innovation Officer

Raj oversees ACA strategy, M&A, and ComplianceAlpha®.

Michael Borts

Michael Borts

Chief Technology Officer

Michael is the Chief Technology Officer and oversees regulatory technology product development at ACA.

Eddie Cogan

Eddie Cogan

Partner, Head of eComms Surveillance

Eddie is the founder of Catelas and oversees ACA's eComms Surveillance Technology.

Patrick Conroy

Patrick Conroy

Partner, Regulatory Technology

Patrick oversees global business development for ACA’s regulatory technology and managed services solutions.

Leigh Emery

Leigh Emery

Senior Product Champion, Regulatory Technology

Leigh is Senior Product Champion for ACA's ComplianceAlpha® regulatory technology platform. She was formerly Chief Compliance Officer for Dynasty Financial Partners.

Glen Froio

Glen Froio

Partner, Regulatory Technology

Glen oversees ComplianceAlpha®'s services functions, including Customer Support, Customer Success, and Product Implementation.

Nikolay Kojuharov

Nikolay Kojuharov

Partner

Nikolay oversees the ComplianceAlpha® software development team.

Michael Lehman

Michael Lehman

Partner

Michael oversees key relationships and product management of ComplianceAlpha®'s Market Abuse Surveillance Solution, formerly known as Decryptex ®.

Jordan Schwartz

Jordan Schwartz

Partner

Jordan oversees product management for ComplianceAlpha®'s Compliance Management, Marketing Review, and Employee Compliance Solutions.

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News

ACA Group Named Accounting/Due Diligence Firm of the Year by M&A Advisor

ACA Group announced today that ACA Aponix® is the recipient of the Accounting/Due Diligence Firm of the Year in the 20th Annual M&A Advisor Awards. The M&A Advisor Awards are the benchmark for dealmaking excellence, recognizing the leading M&A Transactions, Restructurings, Deal Financings, Product/ Services, Firms, and Professionals.

ACA Group Selected as a RegTech100 Company for 2022

ACA is delighted to be counted among the 100 most innovative RegTech companies in the financial industry.

ACA Group Named Best Regulatory Consultancy - North America by RegTech Insight

ACA is honored to be voted Best Regulatory Consultancy - North America in the RegTech Insight Awards 2021 USA.

Upcoming events

Annual Compliance Training - 26 January 2022

The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.

Online Training

Client Money - 27 January 2022

Financial services providers that hold or control client money or assets must follow specific rules outlined in the Financial Conduct Authority’s (FCA) Clients Assets Sourcebook (CASS). This course is specifically designed to assist teams in dealing with client money audits and the client assets report, as well as helping them stay up to date with statutory and regulatory obligations in this complicated area.

Online Training

ACA Group and NSCP Cybersecurity Program Survey Results

We've again partnered with the National Society of Compliance Professionals (NSCP) to provide financial services firms with an opportunity to gain insight into cybersecurity compliance programs. Join us as we present the results of the survey.

Webcast