ACA Spotlight Blog

ACA Spotlight Blog

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

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RegTech

 

ComplianceAlpha on laptop on desk with Christmas tree
December 17, 2020
Firms are turning to technology at a record rate thanks in large part to the pandemic, and regulators worldwide continue to prioritize technology innovation and data. We've curated a roundup of notable alerts and insights from ACA's experts as well as ComplianceAlpha enhancements to help you catch up and prepare for a successful 2021.
ComplianceAlpha 2.5 Release
November 11, 2020
ComplianceAlpha 2.5 includes new features designed to provide firms globally with deeper insights into potential risk and opportunity across the enterprise.
abstract dots and lines
October 29, 2020
RegTech can help firms navigate the future of risk and compliance in the age of  RiskMutation™ by transforming risk and compliance functions while delivering cost savings. Get our RegTech strategic roadmap here.
ComplianceAlpha on mobile device and laptop
October 23, 2020
Quarterly recap of regulatory news and ACA insights related to RegTech from this past quarter, as well as what's new and coming soon to ComplianceAlpha.
abstract data chart purple and blue
October 22, 2020
We examine recent regulatory events around trade surveillance and market abuse and provide best practices that can be applied to your firm’s surveillance program.
election day calendar with I voted stickers and clock
October 15, 2020
This new feature is designed to provide an efficient and cost-effective solution for identifying and investigating potential conflicts of interest while meeting your firm's regulatory obligations under relevant pay-to-play regulations.
abstract data chart green and blue lines
October 14, 2020
Risk and compliance officers today are faced with an unprecedented level of complexity and change.
abstract stock chart on blue background
October 13, 2020
The solution combines ACA’s regulatory technology (RegTech) and managed services to provide our clients with a full-service, cost-effective offering for meeting their requirements under various KYC and CIP regulations in the U.S., Europe, and Cayman Islands.
woman using compliancealpha mobile app
August 17, 2020
We’re excited to launch the mobile version of ACA's ComplianceAlpha risk and compliance management platform to help make compliance easier and more accessible for your firm.
abstract stock chart on blue background
June 30, 2020
Download our surveillance gap assessment checklist to see how your program measures up.
abstract man typing in front of stock market chart
April 27, 2020
With the current market volatility and the “new normal” of remote work, firms should ensure their Code of Ethics program is adjusted to comprehensively monitor for the new employee risks brought about by this environment. In this blog post, we share what concerns firms have regarding their Code of Ethics, as well as best practices for enhancing your firm's Code of Ethics program.
Mitigating Employee Risks Related to the COVID-19 Pandemic
March 25, 2020
The coronavirus (COVID-19) pandemic is drastically changing how firms conduct business. These changes are creating a new set of risks and challenges for firms, particularly as relates to firms’ employees.