ComplianceAlpha® is ACA's secure, centralized platform for managing your firm’s risk and compliance program. The platform enables compliance, marketing, and risk teams to more efficiently meet their firm's regulatory obligations and business needs.
KEY BENEFITS AND FEATURES
Modular system designed to scale with your business
Robust dashboard for monitoring and analyzing compliance activities
Microsoft® Outlook®-integrated calendar for tracking scheduled compliance activities
Upload and maintain compliance policies and procedures
Full workflow for submitting, reviewing, approving, and archiving marketing and advertising materials
Cybersecurity and technology risk management tools
Seamless access to your firm’s enterprise system through single sign-on (SSO)
Built on a secure cloud platform developed in consultation with ACA Aponix®
Automated monitoring for potential trade, market, or other market abuse
Manage your firm’s code of ethics and track compliance activities related to employee personal securities trading (coming soon)
ACA’s Compliance ELF (Employee Level Filing) provides an integrated solution for managing your firm’s code of ethics compliance activities related to employee personal securities trading monitoring, attestations, reporting on gifts, political contributions, outside activities, and more.
Streamlines the monitoring of employees’ trading activity through electronic pre-clearance, screening list capabilities, and automated trade review
Allows for pre-clearance requests to automatically approve or deny based on your firm’s compliance policies
Generates trading rules reports to check against your firm’s compliance policies and highlight violations
Notifications, Attestations, and Questionnaires
Allows employees to submit gift and entertainment notifications, political contribution notifications, outside activity approvals, disciplinary questionnaires, fitness and proper questionnaires, and compliance attestations
Pre-populates accounts with recommended templates
Allows for the easy creation of custom forms and templates
Generates trading summaries and compliance review reports of all employees for easy tracking across business lines
Includes smart filters to easily choose parameters for queries
Electronic Brokerage Links
Links to more than 4,000 brokerage institutions worldwide for easy trading data capture
Allows for the use of both aggregated and direct broker feeds
ACA's Decryptex® is now integrated into ComplianceAlpha.
Decryptex provides in-depth trade surveillance to help identify items of interest and non-compliant trading and investment activity. The system offers a case management tool that can track and store emails, reports, and research related to each investigation.
Monitors for potential insider trading, manipulation, or other market abuse
Forensic portfolio testing after meetings with expert networks or issuers
Data visualizations for recreating positions and overlay corporate actions
Case manager for documenting and resolving items of interest
The ACA Aponix Platform centralizes cybersecurity and technology risk management capabilities to help you assess, identify, monitor, and understand risks in your technology infrastructure and cybersecurity processes, procedures, and controls.
See results of on-site risk assessments
See all identified risks, including related issues, descriptions, and action plans
Access a variety of vendor data, including product lines, contracts, and performed diligence
Assess identified vendor risks, including ratings, issues, descriptions, and comments
Track completion status of vendor due diligence questionnaires
Review and sign off on individual vendors
Phishing Testing Administration
See results of deployed phishing campaigns
Send educational emails to employees regarding phishing campaigns
Cyber Awareness Training Administration
Send online training courses, including general cyber awareness and GDPR awareness, to employees
Track course completion status
Generate course completion status and quiz score reports
Network Testing and Threat Intelligence
Review network scans to identify vulnerabilities in your internal network and external perimeter
Stay up-to-date on potential threats via paste-site monitoring and domain registration monitoring
Send text messages to staff during business continuity events through SMS tool
(NEW) Client Type: A Global Asset Manager with >$100B AUM
A global asset management firm with >$100 billion in assets under management (AUM) across four geographic regions needed a single solution to centralize the firm's compliance approval reviews of marketing materials across regions and distributed teams. Each team had unique data capture and approval workflows required to meet their diverse business needs. The firm’s U.S.-based division needed an easy way to submit marketing materials to FINRA while capturing and storing all approval process steps and data in a WORM-compliant format per regulatory requirements. In addition, the firm had an existing legacy solution and wanted to migrate over 100GB of data to a new solution.
Client Type: A Private Equity Fund Manager with $1B AUM
A growing multi-affiliate private equity fund manager with approximately $1 billion assets under management was manually tracking its compliance tasks and reviewing marketing materials through email. In order to more efficiently manage its increasing compliance responsibilities, the firm wanted to implement a solution that would help streamline and automate these tasks.
Client Type: A Dual-Entity Private Equity and Hedge Fund Manager with $1B AUM
A dual-entity private equity and hedge fund manager with approximately $1 billion AUM needed to build a universal risk assessment and compliance program testing regime under time and resource constraints that limited the ability of the firm's compliance staff to adequately design and implement an effective solution.
Client Type: A Growing Investment Adviser/Wealth Manager with $1.5B AUM
An investment advisory and financial planning firm managing over $1.5 billion in client assets experiencing growth in its advisory business required updates to its compliance and marketing review program infrastructure, which was limited by inefficiencies in its manual review processes.
An investment adviser with approximately $25 billion AUM representing multiple client types and distribution channels had difficulty managing the volume of marketing materials that needed to be approved by designated supervisors and departments, resulting in delays in the review process.