employee compliance large a with check mark

REGULATORY TECHNOLOGY SOLUTIONS

Streamline risk and compliance management with ComplianceAlpha® 2.0
 

Request a Demo

 

We deliver software and technology consulting services to over 650 leading financial services firms globally. Our regulatory technology solutions are designed, developed, and supported by the industry’s largest team of former regulators, financial technologists, and cybersecurity professionals. Our global team includes almost 100 former SEC, FINRA, FCA, CFTC, NFA, and state regulators, as well as former senior managers and technologists from prominent financial institutions and consulting firms. Through our collective expertise in compliance, cybersecurity, performance, financial crimes, and technology, we understand our clients’ business needs and regulatory requirements. Our technology solutions help our clients streamline processes, simplify day to day tasks, and ensure easy and comprehensive tracking of all activity across their firm.

Are you ready for RegTech 2020?

 

Download our peer insights infographic to see how your RegTech program stacks up.

 

Download Infographic

lights tunnel time lapse

ComplianceAlpha®


 

ComplianceAlpha marketing review solution MRS

 

ComplianceAlpha helps global financial services firms of all sizes to effectively and efficiently meet regulatory demands across the organization from a single platform. The platform helps firms automate manual tasks, identify risk through enhanced surveillance capabilities, derive deeper insights through connected data, simplify the submission of requests and disclosures for employees, and free up valuable time for more strategic, higher-value tasks.

 

Request a Demo    Learn More 

 

Solutions


 

Employee Compliance Solution

ACA's Employee Compliance solution helps your firm identify potential conflicts of interest through automated employee personal trading surveillance. It also helps your firm’s employees easily submit approval requests and disclosures for gifts and entertainment, political contributions, and outside business activity.

Request a Demo    Learn More 

compliance elf dashboard on laptop mockup

 

Compliance Management Solution

ACA’s Compliance Management solution provides your firm with a governance, risk, and compliance technology platform that helps compliance teams to effectively and efficiently managing compliance program activities and identify potential issues through automated risk monitoring, compliance activity tracking, up-to-date reference compliance content, reporting, and visual analytics.

Request a Demo    Learn More 

CMP compliance matrix

Marketing Review Solution

ACA's Marketing Review solution helps your firm’s marketing and legal teams easily manage workflows for reviewing, approving, and submitting marketing and advertising materials.

Request a Demo    Learn More 

MRS dashboard

Trade Surveillance Solution

ACA's Trade Surveillance solution provides in-depth trade surveillance to help your firm identify potential insider trading, market abuse, and other potential misconduct. The solution includes a case management tool that can track and store emails, reports, and research related to each investigation.

Request a Demo     Learn more 

Decryptex dashboard

Cybersecurity Solution

Helps your firm’s IT and security teams manage cybersecurity and technology risk management tasks as well as foster employee cybersecurity awareness.

Request a Demo     Learn more 

Aponix vendor management platform VMOS

compliance alpha letter a

Other ACA Regulatory Technology Solutions


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.

Request a Demo    Learn More 

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.

Request a Demo    Learn More 

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.

Request a Demo    Learn More 

 

Trade Allocations

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

Request a Demo     Learn More 

ACA Technology Awards


Alt Credit

Best Technology: Overall

HFM US Hedge Fund Technology Awards 2019

Best RegTech Solution

2019 RegTech 100

RegTech 100 List 2019

Fund Technology and WSL Awards 2019 winner

Best Compliance Solution

HFM European Hedge Fund Technology Awards Winner 2019

Best RegTech Solution