Regulatory Technology Solutions for Financial Services

Request a demo of ComplianceAlpha®

Our ComplianceAlpha® regulatory technology software backed by managed services support helps firms build more comprehensive and resilient GRC programs to achieve better outcomes and economies of scale.​

Our team includes over 200 former regulators and compliance officers, as well as practitioners in technology and cybersecurity, who lend their real-world experience and subject matter expertise to the development of new features.

Please complete the form and a member of our team will be in touch.
 

ComplianceAlpha DashboardOur GRC technology and managed services solutions include:
 

  • Employee Compliance Solution
    Automates surveillance of employees' personal trading activity and centralizes code of ethics/code of conduct management activities.
     
  • Market Abuse Surveillance Solution
    Provides in-depth trade surveillance to help firms identify Items of Interest (IOI) and non-compliant trading and investment activity.
     
  • Compliance Management Solution
    Provides a governance, risk, and compliance technology platform for effectively and efficiently managing compliance program activities.
     
  • Marketing Review Solution
    A complete end-to-end review and approval workflow solutions for marketing materials and financial promotions.
     
  • AML KYC/CIP Solution
    Provides automated, ongoing monitoring and managed services to help your firm meet its data screening, ongoing monitoring, remediation, and reporting needs.
     
  • Regulatory Reporting Solution
    Provides investment advisers and broker-dealers with a cost-effective, full-service offering designed to help streamline complex reporting requirements, improve data accuracy, and reduce the operational costs related to regulatory filings.
     
  • eLearning
    Provides a centralized platform for employee training requirements, from course administration through employee completion.
     
  • eComms Surveillance Solution
    Our eComms Surveillance Solution (formerly Catelas) can help your firm detect and mitigate risks effectively and efficiently to protect your business.