ACA Spotlight Blog

ACA Spotlight Blog

Risk and compliance alerts, insights, and resources for financial services firms
 

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RegTech

 

stock chart
February 20, 2020
Clients of ACA’s Employee Compliance solution in ComplianceAlpha® can now receive Items of Interest (IOI) for potential insider trading and market abuse related to employees’ personal trading activity.
city skyline abstract night sky
February 10, 2020
Our key takeaways from 1LoD's 2020 Surveillance Benchmarking Survey & Report for buy-side firms.
blue data graph
January 10, 2020
With the New Year comes the global regulators’ announcements of their supervisory priorities and focus areas for the year ahead. Both the SEC and FCA have issued press releases regarding their views on technology and the role it plays in regulatory oversight.
new year's eve fireworks and lights
December 19, 2019
Recap of our 2019 product updates, insights, alerts, webcasts, and other resources for CCOs, COOs, legal personnel, and compliance and risk teams to review and utilize to close 2019 strong and lay the foundation for a successful 2020.
skyscrapers looking up
November 13, 2019
In recent weeks 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
October 1, 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
We discuss 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.