A global asset management firm with more than $100 billion in assets under management (AUM) across multiple geographic regions needed a single solution to centralize the firm's compliance approval reviews of marketing materials across regions and distributed teams. The firm also required the ability to upload to FINRA while capturing and storing all data in a WORM-compliant format, and they needed to migrate seven years' worth of data to a new solution. The client chose ACA's ComplianceAlpha® Marketing Review Solution (MRS) to solve these challenges. Download our latest case study to learn more about how the client benefitted from MRS.
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;
- trade surveillance; and
- personal securities trading and code of ethics (coming soon).
About the Author
Dileep Bhat is a Managing Director with ACA Technology Solutions. Dileep Bhat joined ACA through the acquisition of NorthPoint Financial in in November 2014 and currently serves as a Managing Director based in our New York, NY office. Dileep brings over 15+ years of technology and design experience in both the Microsoft and Java platforms and has successfully delivered multiple enterprise software products to market. In numerous client consulting engagements Dileep has built and integrated multiple systems encompassing trade capture, portfolio management, risk, compliance, and loan management. Dileep led the design and development of the ACA Regulatory Reporting (RR) solution for Form PF, AIFMD Annex IV, CPO/PQR filing obligations. Dileep is currently a Product Manager on the ACA ComplianceAlpha® platform focusing on building cloud based-compliance management platforms. At NorthPoint, Dileep drove the Agile Application of Lifecycle Management (ALM) methodologies practice focusing on improving software delivery including the Confluence wiki-based knowledge management systems. Dileep spearheaded the NorthPoint Associate Training Program for onboarding new Associates. The Training Program prepares consultants in enterprise development technologies, business domain knowledge, agile methodologies, tools, and consulting practices. Prior to joining NorthPoint, Dileep served in senior development roles in CRM-focused enterprise sales force compensation and ERP e-commerce software based firms. Dileep received his Bachelors in Electrical Engineering from the University of Pennsylvania.