Trade Surveillance and Market Abuse Detection Software

Request a demo
  1. Our Solutions
  2. ComplianceAlpha RegTech Solutions
  3. Trade Surveillance and Market Abuse Detection Software
ACA market abuse surveillance solution screen

Optimize firm-wide surveillance testing from our ComplianceAlpha® RegTech platform

Regulators are using sophisticated technology to identify potential insider trading, market abuse, and other misconduct, resulting in record-breaking fines and enforcement. Our Market Abuse Surveillance Solution (formerly Decryptex®) provides automated, in-depth trade surveillance to help your firm identify potential misconduct and insider trading risk. Watch our video to learn more.

Key features

Stay ahead of conduct risk while reducing false positives and improving outcomes. We offer a range of technology, support, and managed services packages to help your risk and compliance teams optimize firm-wide trade surveillance testing. Key features include:

Technology
  • Automates trade, position, and market surveillance from a single platform
  • Identifies items of interest (IOI) based on algorithmic searches across multiple liquid asset classes, including equities, derivatives, currencies, and fixed income
  • Allows you to conduct forensic portfolio testing after meetings with expert networks or issuers
  • Provides a case management system for documenting compliance investigations
  • Allows you to visualize and drill down your trading activity when compared to corporate actions, significant price movements, and important events such as meetings with expert networks or issuers or political intelligence research
  • Analyzes fairness in dealing across account allocation and execution
  • Provides for easy reporting for regulatory inquiries
Managed Services
  • Dedicated analysis of results from ACA's trade surveillance experts to eliminate false positives and reduce the workload for your team
  • Training on how to use the platform's sophisticated reporting and analytics functionality so you can build custom reports and dashboards to better visualize and analyze trading activity across your firm
1 of
Learn more

Featured RegTech insights

Key Takeaways from 1LoD’s Trade Surveillance Deep Dive Report 2021

Industry analyst 1LoD recently hosted a two-day Deep Dive on the future of trade surveillance. Attendees were from all over the globe and represented financial institutions (78%), technology firms (19%), and regulators (2%). ACA’s Michael Lehman, Partner and product manager for ACA’s Market Abuse Surveillance technology in ComplianceAlpha®, spoke at the event.

Report
  • RegTech
  • Trade Surveillance

Revisiting Best Practices for Trade and Market Abuse Surveillance (Downloadable Checklist)

We examine recent regulatory events around trade surveillance and market abuse and provide best practices that can be applied to your firm’s surveillance program.

Article
  • RegTech
  • COVID-19
  • Trade Surveillance

OCIE Risk Alert Highlights Private Fund Adviser Deficiencies Related to Conflicts of Interest, Fees and Expenses, and MNPI / Code of Ethics

OCIE’s latest Risk Alert details observations from examinations of private equity funds and hedge funds.

Compliance Alert
  • Compliance
See more insights

News

New SEC Marketing Rule Master Class Podcast Released

We are pleased to announce the release of our new master class series on the SEC’s Marketing Rule! Sponsored by the NSCP and ACA Group and developed by Patrick Hayes, host of the Compliance In Context Podcast, and Carlo di Florio, ACA Group’s Global Advisory Leader.

ACA Group Selected as an AIFinTech100 Company for 2022

ACA Group has been named one of the 100 most innovative AIFinTech companies in the financial industry by FinTech Global.

2022 Investment Management Compliance Testing Survey Results Released

For the second year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one worry for investment adviser compliance officers, according to the 2022 Investment Management Compliance Testing Survey.

More News

Upcoming events

More Events