Employee Compliance RegTech Solution Demo

See how ACA's ComplianceAlpha^®  Employee Compliance Solution can streamline the management of your firm’s personal trading surveillance, employee certifications, political contributions, outside business activity reporting, and more. 

Our brief click-by-click demo illustrates how our technology can help you quickly and accurately identify potential conflicts of interest while simplifying the submission of approval requests and disclosures for employees.

Key Features:

• Automated personal trade surveillance
• Links to 5,000 global brokerage institutions
• Crypto Broker Support
• Pre-trade and post-trade rules engine (including rules for checking of IPOs, and private placements)
• Automated searches across public FEC, state and local databases for political contributions
• Certifications and attestations, Items of interest, case management, and automated notifications
• Automated management via API/third-party integrations of restricted lists, screening lists, trading lists, and users
• Mobile App review and submission functionality for IOS and Android devices
• WORM-Compliant storage of records available

If you have questions while you watch, send them through the 'Q&A' box under the presentation, and our team will follow-up with you!