ACA Compliance Group Adds Insider Trading and Market Abuse Surveillance for Personal Trading Data in ComplianceAlpha

February 12, 2020

ACA Compliance Group (ACA), a leading provider of governance, risk, and compliance advisory services and technology solutions, today announced it has added six Insider Trading and Market Abuse surveillance rules to ACA’s Employee Compliance solution in ComplianceAlpha®. The new rules are designed to help global financial services firms keep pace with global regulators’ increasingly advanced data and analytics capabilities and continuing supervisory focus on insider trading and market abuse.

The new rules allow ACA’s Employee Compliance solution clients to receive Items of Interest (IOI) for potential insider trading and market abuse related to their employees’ personal trading activity. The rules are powered by ACA’s Decryptex® trade surveillance algorithms that leverage end-of-day market data.

Jordan Schwartz, Partner at ACA, said, “We’re pleased to provide our clients with an expanded feature set for monitoring their employees’ personal trading data. By receiving IOIs related to potential insider trading and market abuse directly within Employee Compliance, clients will be able to be more proactive about investigating and remediating issues.”

Carlo di Florio, Global Chief Services Officer at ACA, said, “Regulators globally expect financial firms to have technology that allows them to identify and remediate potential misconduct within their firm. By continuing to enhance the capabilities of ACA’s trade surveillance technology, we are providing our clients with a comprehensive solution for effectively, diligently, and proactively managing their firm’s trading risk in a way that meets regulatory expectations and industry best practices.”

About ACA's Trade Surveillance Solutions

ACA offers a range of trade monitoring and surveillance solutions designed to help your firm effectively, diligently, and proactively manage its firm-wide and employee trading risk in a way that meets regulatory expectations and industry best practices. To learn more about these solutions and how they compare, download our fact sheet.

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About ACA Compliance Group

ACA is a leading provider of governance, risk, and compliance advisory services and technology solutions. We partner with our clients to help them mitigate the regulatory, operational, and reputational risks associated with their business functions. Our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, broker-dealers, and domestic and international banks. ACA is based in New York City and has offices in London, Hong Kong, Malta, and other U.S. cities.

ACA delivers technology solutions and consulting services to over 640 leading financial services firms globally. Our regulatory technology solutions are designed, developed, and supported by the industry’s largest team of former regulators, financial technologists, and cybersecurity professionals. Our global team includes almost 100 former SEC, FINRA, FCA, CFTC, NFA, and state regulators, as well as former senior managers and technologists from prominent financial institutions and consulting firms.

Through our collective expertise in compliance, cybersecurity, performance, financial crimes, and technology, we understand our clients’ business needs and regulatory requirements. Our technology solutions help our clients streamline processes, simplify day to day tasks, and ensure easy and comprehensive tracking of all activity across their firm.

Contacts

Client Inquiries:

Please contact your ACA Consultant or Patrick Conroy.

Press Inquiries:

Please contact Krissy Kennedy.