Common Practices for GIPS® Compliance
ACA has gathered all the common best practices of performance teams complying to the GIPS standards and will discuss the most common question we receive from clients, "What do other firms do?"
Webcast
eComms Surveillance Software
See potential high-risk activities and behaviors from a single location.
Employees' increasing use of electronic platforms like Microsoft Teams, Zoom, WhatsApp, and WeChat can lead to increased or undetected conduct risks for your firm. At the same time, regulators around the globe are scrutinizing how firms are managing these risks. Our eComms Surveillance Solution can help your firm detect and mitigate these risks effectively and efficiently to protect your business.
ACA's acquisition of Catelas creates the industry's first 360 surveillance offering
Learn how the integration of Catelas' eComms surveillance technology further enhances the holistic surveillance capabilities of ACA’s RegTech platform.
Integrates eComms, trade, and voice data for holistic oversight of behavioral risk
Our solution 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.
Uncovers how employees connect, form groups, and conduct business
Our patented behavioral algorithms define context and isolate conversations of interest to uncover how your employees connect, form groups, and conduct business. Machine learning technology combined with natural language processing (NLP) then maps your employees’ behaviors, activities, and relationships — both internally and externally — to help you zoom in on potential conduct risks.
Reduces false positives for more precise, meaningful alerts
Machine learning technology dramatically reduces false positives by constantly teaching itself using your firm’s own data – automatically and unsupervised. This means your firm can manage the technology and analyze the results without the help of data scientists or a third-party vendor.
Our eComms surveillance solution by the numbers
Surveillance policies and models included
100+
False positives reduced by
95%+
Time to clear review queue reduced by
80%
RegTech news and insights
Michael Borts joins ACA Group as the new Chief Technology Officer
Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.
Q4 2021 Regulatory Reporting Deadlines
Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from October through December 2021.
European Regulator Fines Major Trade Repository for EMIR Breaches
The EU’s securities markets regulator, European Securities and Markets Authority (ESMA), recently fined a major trade repository for eight breaches of the European Market Infrastructure Regulation (EMIR). We examine why it’s vital that firms review the quality of their reporting, including where it is being delegated, to be sure it meets regulatory expectations.
Upcoming events
Compliance Officer: The Roles and Responsibilities - 21 October 2021
The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.
Online Training
What Concerns You? Cyber Concerns and Action Plans
Join ACA Aponix for a review of the top 5 concerns identified by our clients and the actions they plan to take to increase their first line of defense against bad actors.
Webcast