Addressing the SEC’s Examination Priorities and Focus Areas Using Technology

August 6, 2018 by Erin Conrad

ACA Technology's Burt Esrig recently shared his expertise on regulatory technology with Wells Fargo Prime Investment Services for their July 2018 Business Consulting and Regulatory Updates. Burt's article, Addressing the SEC's Examination Priorities and Focus Areas Using Technology, discusses how the SEC continues to invest in technology for accessing and analyzing data as part of investment adviser exams, and what investment advisers can do to keep pace with the SEC in this area.

In this article, Burt addresses the following regulatory focus areas and how technology can be used to address them:

  • Surveillance technology
  • Automated/digital investment platforms
  • Never-before-examined investment advisers
  • Best execution obligations
  • Performance marketing

Click below to download a PDF of the newsletter. Burt's article is located on pages 8-9.

Download the Article 

How ACA Can Help

ACA offers technology solutions that can help you more efficiently meet your regulatory compliance obligations, including:

  • ACA's 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.
  • ACA's ComplianceAlpha® Marketing Review Solution (MRS) - Provides a full management workflow for submitting, reviewing, approving, and archiving approved marketing and advertising materials. It also includes a full audit trail and WORM-compliant archive.

For questions or more information, please contact us.