ACA RegTech solutions

Regulatory Technology Solutions

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Firms can be efficient, effective, and vigilant in meeting their regional regulatory obligations if they embrace a combination of regulatory technology (RegTech) solutions and regulatory compliance advisory services. ACA’s financial technologists help firms implement RegTech solutions that deliver value across the organization, while our team of experienced regulatory consultants helps firms understand their compliance obligations. ACA’s RegTech solutions include functionality for compliance program management, marketing reviews, code of ethics/personal trading management, trade surveillance, cybersecurity and risk management, vendor management, regulatory reporting, pre- and post-trade portfolio compliance, data warehouse, and trade allocations.

ComplianceAlpha®


 

ComplianceAlpha marketing review solution MRS

 

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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Features


 

Code of Ethics and Personal Trading

ACA's Compliance ELF (Employee Level Filing) provides an integrated solution for managing your firm’s code of ethics compliance activities related to employee personal securities trading monitoring, attestations, reporting on gifts, political contributions, outside activities, and more.

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ELF screen

Compliance Management Platform

ACA's 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.

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CMP compliance matrix

Marketing Review Solution

The Marketing Review Solution (MRS) provides a full management workflow for submitting, reviewing, approving, and archiving marketing and advertising materials.

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MRS dashboard

Trade Surveillance Technology

ACA's Decryptex® surveillance technology 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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Decryptex dashboard

Cybersecurity And Risk

The ACA Aponix Platform centralizes cybersecurity and technology risk management capabilities to help you assess, identify, monitor, and understand risks in your technology infrastructure and cybersecurity processes, procedures, and controls.

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Aponix vendor management platform VMOS

Other ACA Regulatory Technology Products


Regulatory Reporting

ACA Regulatory Reporting (ACA RR) solution 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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Pre- and Post-Trade Portfolio Compliance

ACA's NorthPoint Trading Compliance solution 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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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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ACA Technology Awards


Alt Credit

HFM US Hedge Fund Technology Awards 2019

2019 RegTech 100

Fund Technology and WSL Awards 2019 winner