Spotlight Blog

Trade Surveillance

Insights and guidance from ACA's team of experienced compliance and technology professionals.

November 13, 2017

ACA staff have observed an increase in the amount and depth of trading data being requested of investment advisers by regulators prior to exams.

September 19, 2017

The SEC has demonstrated ongoing commitment to developing its technological capabilities for detecting financial crimes is impacting investment advisers across the industry. Here are 5 things investment advisers need to know.