What you'll learn

    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!

    See Our RegTech in Action
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    You need solutions that meet your needs, fit your budget, and consider the complexity of your firm’s unique GRC requirements. 

    Gain peace of mind as you launch, grow, and protect your business with ACA.

    Contact us

    Our unique blend:

    Our regulatory compliance, managed services and technology paired with our extensive regulatory expertise gives you access to full service GRC solutions that can help your firm transform complexity into clear, forward momentum.