ComplianceAlpha

Risk and compliance
program management platform

ComplianceAlpha® is ACA's secure, centralized platform for managing your firm’s risk and compliance program. The platform enables compliance, marketing, and risk teams to more efficiently meet their firm's regulatory obligations and business needs.

KEY BENEFITS AND FEATURES

  • Modular system designed to scale with your business
  • Robust dashboard for monitoring and analyzing compliance activities
  • Microsoft® Outlook®-integrated calendar for tracking scheduled compliance activities
  • Upload and maintain compliance policies and procedures
  • Full workflow for submitting, reviewing, approving, and archiving marketing and advertising materials
  • Cybersecurity and technology risk management tools
  • Seamless access to your firm’s enterprise system through single sign-on (SSO)
  • Built on a secure cloud platform developed in consultation with ACA Aponix®
  • Automated monitoring for potential trade, market, or other market abuse
  • Manage your firm’s code of ethics and track compliance activities related to employee personal securities trading (coming soon)

NEW! COMPLIANCE ELF

 

 

ACA’s Compliance ELF (Employee Level Filing) provides an integrated solution for managing your firm’s code of ethics compliance activities related to employee personal securities trading monitoring, attestations, reporting on gifts, political contributions, outside activities, and more.

Process Automation

  • Streamlines the monitoring of employees’ trading activity through electronic pre-clearance, screening list capabilities, and automated trade review
  • Allows for pre-clearance requests to automatically approve or deny based on your firm’s compliance policies
  • Generates trading rules reports to check against your firm’s compliance policies and highlight violations

Notifications, Attestations, and Questionnaires

  • Allows employees to submit gift and entertainment notifications, political contribution notifications, outside activity approvals, disciplinary questionnaires, fitness and proper questionnaires, and compliance attestations
  • Pre-populates accounts with recommended templates
  • Allows for the easy creation of custom forms and templates

Reporting

  • Generates trading summaries and compliance review reports of all employees for easy tracking across business lines
  • Includes smart filters to easily choose parameters for queries

Electronic Brokerage Links

  • Links to more than 4,000 brokerage institutions worldwide for easy trading data capture
  • Allows for the use of both aggregated and direct broker feeds

COMPLIANCE MANAGEMENT PLATFORM

 

ComplianceAlpha Compliance Management Platform

 

The Compliance Management Platform (CMP) captures data from compliance activities across your firm to help you identify, monitor, and analyze compliance risks, as well as test your controls.

Risk Monitoring and Analysis

  • Monitor your firm’s compliance activity from a robust dashboard
  • Analyze the results of compliance tests and identify items of interest
  • Use visual analytics to track progress and spot potential issues

Compliance Activity Calendar

  • View and track compliance tasks with a Microsoft® Outlook®-integrated calendar
  • Log and document conflicts of interest as well as code of ethics violations
  • Receive notifications when compliance activities require your attention

Document Management and Reporting

  • Upload, edit, and maintain compliance policies and procedures
  • Maintain documents supporting compliance testing results and issue resolution
  • Run standard reports, subscribe to and schedule reports via email, and export data to Microsoft® Excel®

Other Features

  • Use the ACA Master Reference Library to access results of internal compliance testing and reviews as well as reference content updated by ACA's compliance consultants
  • Seamlessly access your firm's enterprise system via single sign-on (SSO)

MARKETING REVIEW SOLUTION

 

ComplianceAlpha marketing review solution

 

The Marketing Review Solution (MRS) provides a full management workflow for submitting, reviewing, approving, and archiving marketing and advertising materials.

Dashboard

  • View the status of submissions, receive notifications, and visualize your workload
  • Search the electronic archive of materials

Submissions Workflow

  • Create a tailored process for reviewing and approving submissions
  • Customize submission forms with user-defined fields
  • Upload materials for review to FINRA via AREF

Audit Trail and Reporting

  • View a complete work log of all submissions and reviews
  • Run metric reports for business owners
  • WORM-compliant storage of submission records available

Other Features

  • Annotate and mark up PDFs using built-in tools
  • Seamlessly access your firm's enterprise system via single sign-on (SSO)

DECRYPTEX® TRADE SURVEILLANCE

 

 

ACA's Decryptex® is now integrated into ComplianceAlpha.

Decryptex provides in-depth trade surveillance to help identify items of interest and non-compliant trading and investment activity. The system offers a case management tool that can track and store emails, reports, and research related to each investigation.

Key features:

  • Monitors for potential insider trading, manipulation, or other market abuse
  • Forensic portfolio testing after meetings with expert networks or issuers
  • Data visualizations for recreating positions and overlay corporate actions
  • Case manager for documenting and resolving items of interest

ACA APONIX PLATFORM

 

 

The ACA Aponix Platform centralizes cybersecurity and technology risk management capabilities to help you assess, identify, monitor, and understand risks in your technology infrastructure and cybersecurity processes, procedures, and controls.

Risk Matrix

  • See results of on-site risk assessments
  • See all identified risks, including related issues, descriptions, and action plans

Vendor Management

  • Access a variety of vendor data, including product lines, contracts, and performed diligence
  • Assess identified vendor risks, including ratings, issues, descriptions, and comments
  • Track completion status of vendor due diligence questionnaires
  • Review and sign off on individual vendors

Phishing Testing Administration

  • See results of deployed phishing campaigns
  • Send educational emails to employees regarding phishing campaigns

Cyber Awareness Training Administration

  • Send online training courses, including general cyber awareness and GDPR awareness, to employees
  • Track course completion status
  • Generate course completion status and quiz score reports

Network Testing and Threat Intelligence

  • Review network scans to identify vulnerabilities in your internal network and external perimeter
  • Stay up-to-date on potential threats via paste-site monitoring and domain registration monitoring
  • Send text messages to staff during business continuity events through SMS tool

COMPLIANCEALPHA CASE STUDIES

(NEW) Client Type: A Global Asset Manager with >$100B AUM

A global asset management firm with >$100 billion in assets under management (AUM) across four geographic regions needed a single solution to centralize the firm's compliance approval reviews of marketing materials across regions and distributed teams. Each team had unique data capture and approval workflows required to meet their diverse business needs. The firm’s U.S.-based division needed an easy way to submit marketing materials to FINRA while capturing and storing all approval process steps and data in a WORM-compliant format per regulatory requirements. In addition, the firm had an existing legacy solution and wanted to migrate over 100GB of data to a new solution.

Download Case Study

 

Client Type: A Private Equity Fund Manager with $1B AUM

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.

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Client Type: A Dual-Entity Private Equity and Hedge Fund Manager with $1B AUM

A dual-entity private equity and hedge fund manager with approximately $1 billion AUM needed to build a universal risk assessment and compliance program testing regime under time and resource constraints that limited the ability of the firm's compliance staff to adequately design and implement an effective solution.

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Client Type: A Growing Investment Adviser/Wealth Manager with $1.5B AUM

An investment advisory and financial planning firm managing over $1.5 billion in client assets experiencing growth in its advisory business required updates to its compliance and marketing review program infrastructure, which was limited by inefficiencies in its manual review processes.

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Client Type: An Investment Adviser with $25B AUM

An investment adviser with approximately $25 billion AUM representing multiple client types and distribution channels had difficulty managing the volume of marketing materials that needed to be approved by designated supervisors and departments, resulting in delays in the review process.

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Want to learn more about ComplianceAlpha?

 

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