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

New Mobile App Boosts ACA Compliance Group Capability

Subscribe to our newsletter

In today’s increasingly distributed work environment, accessibility is everything – and firms are having to find new ways to meet their compliance requirements whilst managing a workforce that is more disparate, fragmented and remote than ever before. “With competing regulatory focus areas requiring vigilant oversight and cost pressures being higher than ever, it’s imperative that compliance becomes easier and more efficient for employees and compliance staff alike,” stresses Raj Bakhru, Chief Innovation Officer at ACA.

In an attempt to make this challenge easier, ACA Compliance Group has developed a new mobile app version of its ComplianceAlpha platform for risk and compliance management, providing financial services firms with a central hub from which to manage compliance, communication, and resources for both employees and compliance teams.

“Regulators across the globe are scrutinizing how firms are addressing COVID-19-related risks, issues, and challenges, including their business continuity planning (BCP), operational resilience, insider trading surveillance and market abuse detection, and code of ethics policies and procedures,” says Jordan Schwartz, Partner at ACA. “With many firms working from home, both compliance officers and employees need an easy and effective way to meet their regulatory obligations remotely.”

The new mobile app gives each employee access to the compliance portal, which should boost individual accountability, with access to a range of tools including the ability to manage requests and disclosures for trades, gifts and entertainment, and outside business activities; receive push notifications for important company information and urgent alerts, such as in BCP or disaster scenarios; and access all their documents in one place, including company documents (e.g. call chains, contact information) and compliance policies and procedures (e.g. code of ethics, insider trading/MNPI, and eComms)

The mobile app, which is available on IoS and Android, will serve as a key component of ACA’s RegTech solutions suite going forward, according to the firm.

Subscribe to our newsletter

Related content

WEBINAR

Recorded Webinar: Are Your Legacy Voice Recordings a Compliance Time Bomb?

Recent enforcement actions underscore the importance of maintaining accurate, secure and up-to-date voice and electronic communication. For some organisations, legacy voice recording systems are not at or beyond end-of-life, posing significant compliance, operational and financial risks. These outdated systems often fail to meet evolving regulatory expectations around data authenticity, retention, and accessibility. Delaying action increases...

BLOG

Is the End in Sight? Plotting the Journey to Consolidated Tape in the EU and UK Markets

By Anne Plested, MCSI, Senior Product Manager for Regulation, ION Markets. The realization of consolidated tape has been long-awaited for equities trading in the UK and the European Union (EU). With the European Commission (EC) adopting the enabling technical standards on 12 June and the European Securities and Markets Authority (ESMA) launching its search for...

EVENT

RegTech Summit New York

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

GUIDE

AI in Capital Markets: Practical Insight for a Transforming Industry – Free Handbook

AI is no longer on the horizon – it’s embedded in the infrastructure of modern capital markets. But separating real impact from inflated promises requires a grounded, practical understanding. The AI in Capital Markets Handbook 2025 provides exactly that. Designed for data-driven professionals across the trade life-cycle, compliance, infrastructure, and strategy, this handbook goes beyond...