RegTech

 

September 10, 2019
We’re putting the finishing touches on ComplianceAlpha 2.0, our next-generation compliance and risk management platform. ComplianceAlpha 2.0 features a redesigned, modern interface and our new Employee Compliance solution for automating personal trading surveillance to help your firm identify conflicts of interest as well as help your employees more easily employee submissions of approval requests and disclosures for gifts and entertainment, political contributions, and outside business activity. We can’t wait to share what we’ve built to help your firm bring its compliance program to the next level.
August 5, 2019
Is your code of ethics monitoring and personal trade surveillance compliance program built to beat the heat? This blog post recaps our recent webcast on this topic and provides best practices for navigating complex and evolving areas of compliance management, including cryptocurrency, pay-to-play, robo-advisors, and more.
April 3, 2019
Highlights and link to the Innovation in Compliance with Tom Fox podcast episode, Nimble and Strategic Compliance: A Conversation with Patrick Conroy. Fox and ACA's Conroy discuss a range of topics related to regulatory technology (RegTech).
March 19, 2019
ACA's Burt Esrig illustrates how regulators' advances in tech are supporting their ever-broadening scope of responsibility, resulting in increased enforcement actions and fines. In this landscape, RegTech is no longer a "nice to have" for investment firms, but an imperative.
February 6, 2019
Regulators globally continue to invest in developing their technological capabilities to quickly and efficiently manage data, and they expect investment firms to do the same. In this blog post, ACA's Burt Esrig and Michael Lehman discuss what you need to know and how regulatory technology solutions can help.
December 5, 2018
Although regulatory compliance will always be a function led and directed by people, technology can support those efforts and make processes more efficient and effective. Here are five ways it can be of benefit to your firm to make RegTech an everyday part of your compliance program.
November 1, 2018
The adoption of RegTech is rapidly becoming business as usual for an increasing number of compliance teams, with personal trading/code of ethics compliance being one of the most significant areas of RegTech adoption. ACA's Jordan Schwartz details the major benefits of adopting a code of ethics/personal trading technology solution.
October 11, 2018
Chief compliance officers (CCOs) and risk and compliance teams know they need regulatory technology to meet ever-increasing regulatory obligations as well as establish best practices for their firm’s governance, risk, and compliance (GRC) program that reduce operational risk and increase operational efficiencies. While the value added by a RegTech solution is clear, understanding the full scope of a GRC technology implementation can be a significant challenge. This blog post explains the four steps you can take to enhance the effectiveness of your firm’s GRC capabilities using technology.
April 25, 2018
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.
March 16, 2018
This case study explains how an investment adviser with approximately $25 billion AUM representing multiple client types and distribution channels implemented ACA's ComplianceAlpha® to address challenges with their marketing review processes.
February 14, 2018
This case study details how dual-entity private equity and hedge fund manager with approximately $1 billion AUM implemented ACA's ComplianceAlpha® to build a universal risk assessment and compliance program testing regime under time and resource constraints.