A holistic surveillance program combines surveillance technology with human expertise to help identify potential insider trading, market abuse, and other misconduct. The technology brings together structured and unstructured data, normalizes the data, and runs sophisticated analytics to provide deeper, more meaningful results for analysis and review by dedicated surveillance analysts. The result is a comprehensive view of behavior and potential surveillance risks across your firm.

Regulators around the globe continue to focus on identifying and punishing insider trading, market abuse, and other misconduct. They are investing in their own technology and data analytics capabilities to support this priority, and they expect investment management firms to implement their own surveillance technology to remain vigilant and proactive. This places an additional burden on a firm's already stretched risk and compliance teams.

How We Help  

Our holistic surveillance solution combines ACA's surveillance technology with white-glove support from ACA's dedicated compliance and surveillance specialists to provide firms with a comprehensive, efficient, and cost-effective approach to surveillance. By bundling these services together, your firm's compliance team can leverage the benefits of ACA's managed services and tech capabilities and get back valuable time to focus on more strategic tasks. Let our team provide the confidence of a complete, top-level view of activity and behavior while relieving your compliance function of the burden of day-to-day tasks. The solution includes:

 

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Surveillance Technology

Helps identify potential insider trading, market abuse, and other misconduct from firm-wide and employee personal trading activity for focused follow-up investigation by ACA’s surveillance specialists.

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Employee Compliance Technology

Provides an integrated solution for collecting, tracking, and analyzing employees' personal trading activity and reported activities, including certifications, gift and entertainment requests and disclosures, political contributions, outside activity reporting, and more.

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Electronic Communications Surveillance

Hepls identify potentially significant business and compliance issues at their earliest stages.

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Expert Network Consultation Chaperoning

Relieves the burden of monitoring and testing around the use of expert networks or similar avenues of research.

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Social Media & Online Presence Surveillance

Identifies potential problematic online activity and helps provide regulatory guidance on the use of social media.

ACA Compliance Services and Solutions

Managed Services

ACA's experienced team can analyze the results from our automated surveillance and monitoring technology to provide deeper, more meaningful insights and recommendations for further investigation by your firm.

WHITE PAPER

Best Practices for Implementing a Holistic Surveillance Program

ACA's surveillance team provides a deep dive on holistic surveillance, why it matters, and what your firm needs to know to implement its own holistic surveillance program to proactively and effectively identify, prevent, and remediate potential misconduct across the organization.

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Best Practices for Implementing a Holistic Surveillance Program