city skyline with dots and lines coming up from the buildings

Trade Surveillance Solutions for Financial Services

Contact Us

Regulators globally are using cutting-edge technologies to identify potential insider trading, market abuse, and other misconduct, resulting in record-breaking fines and enforcement. ACA’s trade surveillance solutions are designed to help your firm effectively, diligently, and proactively manage its trading risk in a way that meets regulatory expectations and industry best practices.

How We Help  

We offer a range of trade surveillance solutions designed to meet your firm’s business needs, including the following:

 

ceiling camera profile with connecting wires branching from the top

Trade Surveillance Technology

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

Learn More

open envelope with paper sticking out email address symbol

Employee Compliance Technology

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

Learn More

omnichannel bespoke wheel with six circles connected by the lines to the center circle

Enhanced Trade Blotter Review Service

Tool used by ACA's consultants to review your firm's trading activities as part of our mock SEC examinations and compliance program reviews.

scale of justice leaning towards the right

Holistic Surveillance Solution

Bundled offering that combines the efficiencies of ACA's trade surveillance technology with white-glove support and analysis from ACA's compliacne and surveillance specialists. 

Learn More

WHITE PAPER

Best Practices for Implementing a Holistic Monitoring and Surveillance Program

Our trade surveillance specialists provide a deep dive on holistic surveillance, why it matters now, and what your firm needs to know to implement its own holistic surveillance program to proactively and effectively identify, prevent, and remediate potential misconduct across the organization.

Download

 

Best Practices for Implementing a Holistic Surveillance Program