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).
April 3, 2019
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.
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.
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.
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.
August 21, 2018
Case Study: How a >$100B Global Asset Manager Streamlined Marketing Reviews with ComplianceAlpha's Marketing Review Solution
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.
August 8, 2018
The U.S. Securities and Exchange Commission ("SEC") continues to invest in developing and improving its technology and data analytics capabilities.
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.
April 25, 2018
Case Study: How ComplianceAlpha Helped a $1B AUM Private Equity Fund Manager Automate and Streamline its Compliance Management Tasks
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.
March 21, 2018
SEC Requesting that Firms Submit Data via Formatted Template as Part of Investment Adviser Exams — What Your Firm Needs to Know
Since the U.S.
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.