Technology

Case Study: How ACA's NorthPoint Data Management Solutions Address Form ADV Regulatory Reporting Challenges

This case study details how ACA's NorthPoint Data Management Solutions helped a large OCIO manager solve challenges related to the Form ADV requirement to provide derivatives exposure for investments made via Separately Managed Accounts (SMAs) based on day-over-day data.

Code of Ethics/Personal Trading Technology – Understanding the Three Key Benefits

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: A 4-Step Approach

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.

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.

Addressing the SEC’s Examination Priorities and Focus Areas Using Technology

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. Burt's article, Addressing the SEC's Examination Priorities and Focus Areas Using Technology, discusses how the SEC continues to invest in technology for accessing and analyzing data as part of investment adviser exams, and what investment advisers can do to keep pace with the SEC in this area.

Case Study: ACA's NorthPoint Data Management Solutions for OCIO Managers / Managed Account Platforms

This case study details how a large OCIO management firm and a large managed account platform firm, each with a large number of clients that invests in hedge funds through separately managed accounts (SMA), implemented ACA's NorthPoint Data Management Solutions Data Warehouse and Security Master modules to address the need for drill-through transparency into the constiutent investments of these funds.

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. In order to more efficiently manage its increasing compliance responsibilities, the firm wanted to implement a solution that would help streamline and automate these tasks. The client chose ACA's ComplianceAlpha® to solve these challenges.

Case Study: How ACA Technology Helped a $19B AUM Investment Manager Consolidate Data Sources and Optimize Workflows

This case study explains how ACA's NorthPoint Platform helped a growing investment management firm with approximately $19 billion in assets under management solve business challenges related to managing mulitple disparate software systems and home-grown applications, as well as manual operational processes.