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. The client chose ACA's ComplianceAlpha® to solve these challenges. Download our latest case study to learn more about how the client benefitted from ComplianceAlpha.
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 through the integration of:
- risk assessments and regulatory requirements;
- compliance controls, policies, and procedures;
- compliance activity tracking and testing;
- marketing and advertising reviews;
- cybersecurity and technology risk management tools;
- personal securities trading and code of ethics (coming soon); and
- trade surveillance (coming soon).
About the Author
Glen Froio is a Partner with ACA Technology Solutions. He is responsible for leading the organization’s expansion into global markets and its next phase of growth as a technology innovator. Glen enjoys working with ACA Technology’s clients, helping them solve their most complex technical challenges and improving their business efficiency. He was a founding partner and CEO of NorthPoint prior to partnering with ACA Compliance Group to establish the new division, ACA Technology Solutions. Along with his executive team, Glen led NorthPoint from a start-up operation to a leading provider of financial software solutions to the capital markets. Prior to joining NorthPoint, Glen was the Senior Vice President of Operations and Business Development for Stride and Associates, where he mentored and led a team of over 350 employees across 27 offices and 18 cities. Glen was responsible for sales and marketing strategy, growth and development of the senior management teams, forecasting and execution against sales goals, and driving operational excellence throughout the firm.