Regulatory Technology Solutions

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We design and deliver smart regulatory technology (RegTech) solutions to over 800 leading financial services firms globally. Our RegTech solutions help our clients streamline processes, simplify day-to-day tasks, and ensure easy and comprehensive tracking of all activity across their firm.

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ComplianceAlpha DashboardAbout our GRC technology + managed services solutions
 

  • Employee Compliance Solution
    Our Employee Compliance Solution streamlines the management of your firm’s personal trading surveillance, employee certifications, gift and entertainment requests and disclosures, political contributions, outside business activity reporting, and more. The system allows you to easily configure policies, including approving or denying requests automatically based on rule parameters, checks for front running, holdings periods violations, blackout periods, prohibited trades, insider trading and market abuse.
     
  • Market Abuse Surveillance Solution
    Our Market Abuse Surveillance Solution (formerly Decryptex®) uses more than 30 proprietary search algorithms to provide in-depth trade surveillance to help firms identify Items of Interest (IOI) and non-compliant trading and investment activity. The technology monitors for potential market abuses, including use of material non-public information (MNPI), spoofing, layering, crossing, marking the open or close, trade errors, fairness in allocations and prices, execution, and other related abuses. It augments trading and position information with securities metadata (pricing, volatility, and corporate actions) and includes a case management tool that can store emails, reports, and research related to each investigation.
     
  • Compliance Management Solution
    Our Compliance Management Solution provides a governance, risk, and compliance technology platform for effectively and efficiently managing your firm's compliance program activities and identifying potential issues through automated risk monitoring, compliance activity tracking, up-to-date reference compliance content, reporting, and visual analytics.
     
  • Marketing Review Solution
    Our Marketing Review Solution provides a full management workflow for submitting, reviewing, approving, and archiving marketing and advertising materials.
     
  • Regulatory Reporting Solution
    Our Regulatory Reporting Solution combines technology with managed services to provide 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.
     
  • AML KYC/CIP Solution
    Our AML KYC/CIP Solution is designed to assist your firm in developing and implementing effective AML practices that meet industry best practices and comply with applicable laws and regulations in the U.S., Europe, and Cayman Islands. Our solution combines our ComplianceAlpha® regulatory technology with our managed services to help your firm meet its data screening, ongoing monitoring, remediation, and reporting needs.
     
  • Cybersecurity
    Our Cybersecurity Solution in ComplianceAlpha centralizes cybersecurity and technology risk management capabilities to help your firm assess, identify, monitor, and understand risks in your technology infrastructure, cybersecurity policies, procedures, and controls.