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.
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.
The Marketing Review Solution (MRS) provides a full management workflow for submitting, reviewing, approving, and archiving marketing and advertising materials.
Provides CCOs with an integrated solution for managing their firm’s code of ethics as well as tracking compliance activities related to employee personal securities trading.
Key features:
Helps identify non-compliant or anomalous trading and investment activity.
Key features:
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.
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.
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.
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.