Regulatory Technology

ACA Technology develops and delivers innovative and dynamic regulatory technology solutions for financial services firms and their compliance teams. Our team of financial technologists has real-world industry experience and understands the regulatory compliance needs of today’s investment managers.

Risk and Compliance Program Management

ComplianceAlpha® is ACA's cloud-based platform for managing your firm’s risk and compliance program. The platform centralizes risk assessment and regulatory requirements; compliance controls, policies, and procedures; compliance activity tracking and testing; marketing and advertising reviews; code of ethics and personal trading management; trade surveillance; and cybersecurity and technology risk management functionality.

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ComplianceAlpha marketing review solution MRS

ACA Regulatory Reporting

Regulatory Reporting

ACA Regulatory Reporting (ACA RR) is the industry-leading platform for aggregating, reviewing, and submitting regulatory filings. Coupled with support from ACA’s experienced regulatory compliance team, ACA RR has been successfully used by firms of all sizes to more efficiently meet their regulatory reporting obligations while reducing risk and adhering to industry best practices.

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Trade Surveillance

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

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ACA Decryptex trade surveillance

ACA NorthPoint trading portfolio compliance

Pre- and Post-Trade Portfolio Compliance

ACA's NorthPoint Trading Compliance module features a user-intuitive approach to defining the investment guidelines and regulatory rules that apply to your firm. It offers a robust view into trade compliance activity and runs compliance checks pre-, intra-, and post-trade.

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Data Warehouse

ACA's NorthPoint Data Warehouse aggregates trading, performance, risk, and company data into a single, easy-to-use platform coupled with full Knowledge Date support that enables investment managers to make better, faster decisions to improve performance, reduce risk, and increase efficiency.

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Data Warehouse

NorthPoint OMS

Trade Allocations

ACA's NorthPoint Order Management System (NorthPoint OMS) handles complex trade allocation scenarios through a rules-based allocation engine.

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