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?"
Optimize firm-wide surveillance testing from a single technology platform.
Manage your firm's trading risk while meeting regulatory expectations and industry best practices.
Regulators globally 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 Items of Interest (IOI) and non-compliant trading and investment activity.
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. Features can include:
- 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
- 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
Trade surveillance insights
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.
- Regulatory Technology
- Trade Surveillance
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.
- Regulatory Technology
- 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.
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.
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 (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.
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.
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.