Manage Employee Code of Conduct

    Streamline Compliance Certifications, Disclosures, and Personal Trading Surveillance 

    Firms today need advanced technology to ensure compliance with global regulatory standards and to manage conflicts of interest effectively. ACA’s Employee Compliance Solution, integrated within the ComplianceAlpha® RegTech platform, empowers firms to enhance oversight of employee conduct, reinforcing a culture of compliance. 

    Key Benefits:

         ● Automated Conflict Monitoring: Track and investigate outside affiliations, political contributions, gifts, and entertainment.
         ● Personal Trading Surveillance: Streamline pre-clearance and post-trade monitoring to safeguard against conflicts of interest.
         ● Proactive Issue Detection: Identify and resolve potential risks through proactive alerts and customized workflows.


    Fill out the form to see how ACA’s Employee Compliance Solution can strengthen your compliance program. 

     

    ACA's Employee Compliance Solution

    Achieve greater oversight, reduce manual work, and elevate compliance with a seamless, intuitive platform. Key features include: 

     

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    Automated Monitoring
    Simplify personal trading surveillance and trade pre-clearance processes.
    Advanced Reporting & Certifications
    Generate audit-ready reports and manage certification workflows for regulatory readiness. 
    Configurable Rules Engine
    Tailor surveillance settings to your firm’s specific policies and standards. 
    Mobile Access
    Access disclosures, requests, and certification approvals from anywhere, anytime. 

    Why Choose ACA’s Employee Compliance Solution?

    ACA’s intuitive RegTech platform optimizes oversight of employee conduct, reducing regulatory risk and ensuring compliance. Key benefits include: 

         ● Enhance compliance efficiency by automating key workflows and reducing manual processes.

         ● Increase visibility with comprehensive reporting tools and customizable dashboards.

         ● Protect your firm with a full suite of monitoring tools designed to prevent conflicts of interest. 

         ● Strengthen regulatory readiness with proactive alerts and audit-ready reporting. 

    Why ACA?

    ACA’s team of industry experts provides innovative RegTech solutions that evolve with regulatory demands, helping firms minimize risk and maintain compliance with confidence. 

    Who We Serve 
      ● Asset Managers
      ● Banks 
      ● Broker-Dealers 
      ● Hedge Funds 
      ● Investment Advisers 
      ● Portfolio Companies 
      ● Private Equity Firms 
      ● Wealth Managers 

    Complete the form to learn more about ACA’s Employee Compliance Solution.