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ACA's RegTech Solutions for Financial Services

Simplify and streamline risk and compliance management
 

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ACA's ComplianceAlpha® is the award-winning holistic monitoring and surveillance platform transforming risk and compliance management for over 800 leading financial services firms worldwide. By bringing together compliance activities and data in one platform, ComplianceAlpha provides risk and compliance officers with a unified view of risks and behavior across their firm.

 

ComplianceAlpha is designed, developed, and supported by our team of experts in regulatory compliance, technology, and cybersecurity professionals. Through our collective expertise and industry experience, we understand our clients’ complex business needs and regulatory requirements.

ComplianceAlpha® Feature Sets


 

Employee Compliance

Provides an integrated solution for collecting, tracking, and analyzing employees' personal trading and reported activities.

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Market Abuse Surveillance

Provides in-depth trade surveillance to help your firm identify "Items of Interest" and non-compliant trading and investment activity.

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AML KYC/CIP

Full-service RegTech + managed services solution for meeting KYC and CIP requirements in the U.S., Europe, and Cayman Islands.

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Compliance Management

Provides automated risk monitoring, compliance activity tracking, up-to-date reference compliance content, reporting, and visual analytics.

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Marketing Review

Provides a full workflow for reviewing, approving, and submitting marketing and advertising materials.

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Regulatory Reporting

RegTech + managed services offering for aggregating, reviewing, and submitting regulatory filings including Form PF, Form 13F, AIFMD Annex IV, and CPO-PQR.

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Third-Party Risk Management

Full-service RegTech + managed services vendor management outsourcing service (VMOS) for vendor due diligence and risk assessments.

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Cybersecurity

Provides cybersecurity and technology risk management tools cybersecurity awareness training administration.

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Why Choose ComplianceAlpha?

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Our Product Development Team

ComplianceAlpha is designed and developed by experienced technology professionals who understand the complex needs of risk and compliance teams at financial services firms.

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Our Client Service & Support

We take a “white glove” approach to delivering and supporting our products. We are the #1 RegTech provider for client satisfaction among hedge fund managers, according to the 2019 HFM RegTech Rising report.

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Our Industry Experience & Expertise

Through our collective expertise in compliance, cybersecurity, and technology, we understand our clients’ business needs and regulatory requirements. We work closely as a team when designing, developing, and implementing our technology products.

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HFM US Technology Awards Best RegTech Solution