Surveillance requirements are as varied as the firms which deploy these tools. Though there is no ‘one size fits all’ approach, we have updated our Surveillance Program Gap Analysis Checklist to help compliance officers work through their requirements.

Our checklist can help ensure your surveillance program can weather changing the risk and regulatory environment.

This list is not intended to be exhaustive; ACA’s team can help analyze the results and determine the best path forward if enhancements are needed.