ComplianceAlpha

ComplianceAlpha

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ComplianceAlpha® is ACA's secure, centralized platform for managing your firm’s risk and compliance program. The platform enables compliance, marketing, and risk teams to more efficiently meet their firm's regulatory obligations and business needs.

KEY BENEFITS AND FEATURES

  • Modular system designed to scale with your business
  • Robust dashboard for monitoring and analyzing compliance activities
  • Microsoft® Outlook®-integrated calendar for tracking scheduled compliance activities
  • Upload and maintain compliance policies and procedures
  • Full workflow for submitting, reviewing, approving, and archiving marketing and advertising materials
  • Cybersecurity and technology risk management tools
  • Seamless access to your firm’s enterprise system through single sign-on (SSO)
  • Built on a secure cloud platform developed in consultation with ACA Aponix®
  • Automated monitoring for potential trade, market, or other market abuse
  • Manage your firm’s code of ethics and track compliance activities related to employee personal securities trading

COMPLIANCE ELF - CODE OF ETHICS AND PERSONAL TRADING MANAGEMENT

 

Compliance ELF logo

 

ACA’s Compliance ELF (Employee Level Filing) provides an integrated solution for managing your firm’s code of ethics compliance activities related to employee personal securities trading monitoring, attestations, reporting on gifts, political contributions, outside activities, and more.

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COMPLIANCE MANAGEMENT PLATFORM (CMP)

 

ComplianceAlpha Compliance Management Platform

 

The Compliance Management Platform (CMP) captures data from compliance activities across your firm to help you identify, monitor, and analyze compliance risks, as well as test your controls.

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MARKETING REVIEW SOLUTION (MRS)

 

ComplianceAlpha marketing review solution

 

The Marketing Review Solution (MRS) provides a full management workflow for submitting, reviewing, approving, and archiving marketing and advertising materials.

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DECRYPTEX® SURVEILLANCE TECHNOLOGY

 

Decryptex trade surveillance

 

Decryptex provides in-depth trade surveillance to help identify items of interest and non-compliant trading and investment activity. The system offers a case management tool that can track and store emails, reports, and research related to each investigation.

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ACA APONIX PLATFORM

 

ACA Aponix Platform

 

The ACA Aponix Platform centralizes cybersecurity and technology risk management capabilities to help you assess, identify, monitor, and understand risks in your technology infrastructure and cybersecurity processes, procedures, and controls.

Risk Matrix

  • See results of on-site risk assessments
  • See all identified risks, including related issues, descriptions, and action plans

Vendor Management

  • Access a variety of vendor data, including product lines, contracts, and performed diligence
  • Assess identified vendor risks, including ratings, issues, descriptions, and comments
  • Track completion status of vendor due diligence questionnaires
  • Review and sign off on individual vendors

Phishing Testing Administration

  • See results of deployed phishing campaigns
  • Send educational emails to employees regarding phishing campaigns

Cyber Awareness Training Administration

  • Send online training courses, including general cyber awareness and GDPR awareness, to employees
  • Track course completion status
  • Generate course completion status and quiz score reports

Network Testing and Threat Intelligence

  • Review network scans to identify vulnerabilities in your internal network and external perimeter
  • Stay up-to-date on potential threats via paste-site monitoring and domain registration monitoring
  • Send text messages to staff during business continuity events through SMS tool

COMPLIANCEALPHA CASE STUDIES

(NEW) Client Type: A Global Asset Manager with >$100B AUM

A global asset management firm with >$100 billion in assets under management (AUM) across four geographic regions needed a single solution to centralize the firm's compliance approval reviews of marketing materials across regions and distributed teams. Each team had unique data capture and approval workflows required to meet their diverse business needs. The firm’s U.S.-based division needed an easy way to submit marketing materials to FINRA while capturing and storing all approval process steps and data in a WORM-compliant format per regulatory requirements. In addition, the firm had an existing legacy solution and wanted to migrate over 100GB of data to a new solution.

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Client Type: A Private Equity Fund Manager with $1B AUM

A growing multi-affiliate private equity fund manager with approximately $1 billion assets under management was manually tracking its compliance tasks and reviewing marketing materials through email. In order to more efficiently manage its increasing compliance responsibilities, the firm wanted to implement a solution that would help streamline and automate these tasks.

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Client Type: A Dual-Entity Private Equity and Hedge Fund Manager with $1B AUM

A dual-entity private equity and hedge fund manager with approximately $1 billion AUM needed to build a universal risk assessment and compliance program testing regime under time and resource constraints that limited the ability of the firm's compliance staff to adequately design and implement an effective solution.

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Client Type: A Growing Investment Adviser/Wealth Manager with $1.5B AUM

An investment advisory and financial planning firm managing over $1.5 billion in client assets experiencing growth in its advisory business required updates to its compliance and marketing review program infrastructure, which was limited by inefficiencies in its manual review processes.

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Client Type: An Investment Adviser with $25B AUM

An investment adviser with approximately $25 billion AUM representing multiple client types and distribution channels had difficulty managing the volume of marketing materials that needed to be approved by designated supervisors and departments, resulting in delays in the review process.

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Want to learn more about ComplianceAlpha?

 

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