ACA Spotlight Blog

ACA Spotlight Blog

Regulatory compliance, risk, and technology insights and news

Subscribe

RegTech

 

regtech podcast innovation in compliance with tom fox
April 3, 2019
Highlights and link to the Innovation in Compliance with Tom Fox podcast episode, Nimble and Strategic Compliance: A Conversation with Patrick Conroy. Fox and ACA's Conroy discuss a range of topics related to regulatory technology (RegTech).
Addressing the Rising Cost of Non-Compliance with RegTech
March 19, 2019
ACA's Burt Esrig illustrates how regulators' advances in tech are supporting their ever-broadening scope of responsibility, resulting in increased enforcement actions and fines. In this landscape, RegTech is no longer a "nice to have" for investment firms, but an imperative.
6 ways to stay head of regulators with RegTech
February 6, 2019
Regulators globally continue to invest in developing their technological capabilities to quickly and efficiently manage data, and they expect investment firms to do the same. In this blog post, ACA's Burt Esrig and Michael Lehman discuss what you need to know and how regulatory technology solutions can help.
How RegTech Helps Compliance Teams
December 5, 2018
Although regulatory compliance will always be a function led and directed by people, technology can support those efforts and make processes more efficient and effective. Here are five ways it can be of benefit to your firm to make RegTech an everyday part of your compliance program.
November 1, 2018
The adoption of RegTech is rapidly becoming business as usual for an increasing number of compliance teams, with personal trading/code of ethics compliance being one of the most significant areas of RegTech adoption. ACA's Jordan Schwartz details the major benefits of adopting a code of ethics/personal trading technology solution.
How RegTech Can Enhance Your Firm’s GRC Program
October 11, 2018
Chief compliance officers (CCOs) and risk and compliance teams know they need regulatory technology to meet ever-increasing regulatory obligations as well as establish best practices for their firm’s governance, risk, and compliance (GRC) program that reduce operational risk and increase operational efficiencies. While the value added by a RegTech solution is clear, understanding the full scope of a GRC technology implementation can be a significant challenge. This blog post explains the four steps you can take to enhance the effectiveness of your firm’s GRC capabilities using technology.
ComplianceAlpha case study
August 21, 2018
This case study details how a global asset management firm with more than $100 billion in assets under management (AUM) across multiple geographic regions implemented ACA's ComplianceAlpha Marketing Review Solution (MRS) to streamline marketing reviews and meet regulatory requirements.
Recent Developments in the SEC’s Requests Related to MNPI Testing
August 8, 2018
The U.S. Securities and Exchange Commission ("SEC") continues to invest in developing and improving its technology and data analytics capabilities.
RegTech SEC priorities
August 6, 2018
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.
ComplianceAlpha case study Private Equity Fund Manager
April 25, 2018
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.
ComplianceAlpha marketing review solution case study
March 16, 2018
This case study explains how an investment adviser with approximately $25 billion AUM representing multiple client types and distribution channels implemented ACA's ComplianceAlpha® to address challenges with their marketing review processes.