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.

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.

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.

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.

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.

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.

eLearning

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®.

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.

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.

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News

ACA Group Acquires Catelas to Create Industry-first 360 Surveillance Offering

The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.

ACA Group and the Investment Adviser Association Announce Strategic Partnership

ACA Group (ACA), a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions, today announced that it has entered into a strategic partnership with the Investment Adviser Association (IAA), a leading organization dedicated to advancing the interests of investment advisers.

ACA Group Continues to Enhance Compliance Team with New Hires: Former CCOs, Examiners, and General Counsels

ACA has recently welcomed several new members to our investment adviser practice, all of whom bring years of experience and skills to the team. These additions help us accommodate the developing regulatory landscape and meet our client’s specific needs.

Upcoming events

Senior Management Obligations under the SM&CR - 30 September 2021

The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).

Online Training