ACA Spotlight Blog

ACA Spotlight Blog

Compliance, risk, and technology insights and alerts for financial services
 

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RegTech

 

skyscrapers looking up
November 13, 2019
In recent week's global regulators have issued communications regarding their ongoing commitment to detecting and punishing insider trading, market abuse, and other misconduct by investment management firms. The common thread? Technology.
curved tunnel of train in warped speed of light
October 22, 2019
As you prepare to close 2019 strong and get ready for 2020, budgeting for RegTech as an efficient and cost-effective way to drive efficiencies and build a strong compliance program should be top of mind. Download our infographic to see how your peers are implementing - and budgeting for - RegTech.
FT Adviser regtech
October 18, 2019
ACA's Patrick Conroy recently shared his insights on the benefits of regulatory technology (RegTech) with FT Adviser.
employee compliance screen
September 30, 2019
We’re excited to announce the launch of ComplianceAlpha®2.0, our next-generation software platform designed to help your firm strengthen and streamline risk and compliance management across the enterprise from a single location.
ComplianceAlpha 2.0 sneak peek
September 10, 2019
We’re putting the finishing touches on ComplianceAlpha 2.0, our next-generation compliance and risk management platform. We can’t wait to share what we’ve built to help your firm bring its compliance program to the next level.
6 Hot Topics in Employee Compliance
August 5, 2019
Is your code of ethics monitoring and personal trade surveillance compliance program built to beat the heat? This blog post recaps our recent webcast on this topic and provides best practices for navigating complex and evolving areas of compliance management, including cryptocurrency, pay-to-play, robo-advisors, and more.
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.