SEC Examinations: What to Expect and How to Prepare
Hear from our experienced ACA Wealth experts who will discuss SEC examinations, including what to expect, what we’re seeing in the current landscape, and how to prepare.
Implement effective AML practices with our ComplianceAlpha® RegTech platform
Compliance teams are tasked with meeting requirements under various Know Your Customer (KYC) and Customer Identification Program (CIP) regulations, or they can face significant fines. In 2019 alone, there were over $8B AML compliance fines globally, and penalties have continued to trend upward since 2015.
Our AML KYC/CIP compliance software solution can help your firm keep pace with industry best practices and satisfy inquiries from prospective investors.
ComplianceAlpha’s award-winning AML KYC/CIP compliance software functionality is powered by ComplyAdvantage’s industry-leading artificial intelligence (AI)-driven financial crime risk data and detection technology. Through ComplianceAlpha, firms can benefit from automated, ongoing monitoring of more than 100 sanctions and watchlists, 1200 warning and fitness and probity lists, politically exposed persons (PEPs), and more than 300 adverse media sources, as well as advanced name matching algorithms for both individuals and entities.
Hear from our experienced ACA Wealth experts who will discuss SEC examinations, including what to expect, what we’re seeing in the current landscape, and how to prepare.