About a-team Marketing Services
The knowledge platform for the financial technology industry
The knowledge platform for the financial technology industry

A-Team Insight Blogs

ACA Adds SaaS Best Execution Solution to ComplianceAlpha Platform

Subscribe to our newsletter

ACA has added a best execution solution to its ComplianceAlpha RegTech platform. The solution is available as Software-as-a-Service and integrates with the platforms Employee Compliance and Market Abuse Surveillance solutions, as well as third-party systems.

The ACA solution is designed to help global firms facilitate the exchange of critical data and reduce the cost and time to complete required regulatory reports. To do this, it streamlines and automates the process of gathering quantitative and qualitative data needed to support best execution analysis and reporting. It can be used to meet global regulatory requirements of SEC Rules 110-1102, FINRA rule 5310, MSRB Rule G-18, and MiFID II.

“Regulators expect firms to demonstrate that they are consistently taking all sufficient steps to obtain the best possible results for their clients, including evaluating the execution performance of transactions,” says Patrick Conroy, partner at ACA. “Our ComplianceAlpha best execution solution helps clients meet these obligations by evaluating not only the cost of services received from their financial counterparties and service providers, but also the quality of those services.”

The solution outlines a set of recommended tasks for conducting a compliant best execution report. In addition to performing a transaction cost analysis, it allows firms to rank brokers on responsiveness, breadth of services, and other qualitative factors. “By integrating quantitative and qualitative data, we empower our clients to make informed decisions, evaluate broker performance, and fulfill their fiduciary duty diligently,” says Annie Morris, chief product officer at ACA Group.

While the UK no longer requires regulated firms to prepare certain best execution reports (RTS 27 relating to venues and RTS 28 for firms), the regulatory obligations to seek best execution for clients remain and form a central part of Treating Customers Fairly. The EU also deprioritised supervisory actions on non-publication of RTS 27, though the RTS 28 obligation for EU firms remains in place.

Subscribe to our newsletter

Related content

WEBINAR

Recorded Webinar: Best approaches for trade and transaction reporting

Compliance practitioners and technology leaders in capital markets face mounting pressure to ensure that reporting processes are efficient, accurate, and aligned with global standards. Market developments and jurisdictional nuances in regulatory frameworks like MiFID II, EMIR, SFTR and MAS create a continual challenge for compliance teams. This webinar brings together senior RegTech executives and seasoned...

BLOG

Regulators Stay Tough: Why Surveillance Matters in 2025

By Paul Cottee, Director, Regulatory Compliance, NICE Actimize. A common question has arisen in recent conversations and at conferences. Now that major U.S. regulators have new leaders and enforcement heads in place, will enforcement actions slow down both in the United States and around the world? In other words, can financial institutions ease surveillance efforts? ...

EVENT

RegTech Summit London

Now in its 9th year, the RegTech Summit in London will bring together the RegTech ecosystem to explore how the European capital markets financial industry can leverage technology to drive innovation, cut costs and support regulatory change.

GUIDE

Regulatory Data Handbook 2025 – Thirteenth Edition

Welcome to the thirteenth edition of A-Team Group’s Regulatory Data Handbook, a unique and practical guide to capital markets regulation, regulatory change, and the data and data management requirements of compliance across Europe, the UK, US and Asia-Pacific. This year’s edition lands at a moment of accelerating regulatory divergence and intensifying data focused supervision. Inside,...