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ACA ComplianceAlpha from ACA Group

End-to-end compliance management platform with regulatory monitoring, employee compliance, personal trading surveillance, compliance program management, and testing tailored for banking and financial services compliance.

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Product analysis by function

Compliance Management for Compliance

Platforms for managing the overall compliance program, including policy management, training, and regulatory change management.
More Compliance Management More Compliance ...

Regulatory Compliance Monitoring
(8 Yes /8 Known /10 Possible features)

KYC & Customer Due Diligence
(0 Yes /0 Known /11 Possible features)

Anti-Money Laundering (AML)
(0 Yes /0 Known /11 Possible features)

Audit & Reporting
(0 Yes /0 Known /10 Possible features)

Workflow Automation
(0 Yes /0 Known /10 Possible features)

User Access & Security
(0 Yes /0 Known /10 Possible features)

Data Management & Quality
(0 Yes /0 Known /10 Possible features)

Integration & Interoperability
(0 Yes /0 Known /10 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /10 Possible features)

Training & Knowledge Management
(0 Yes /0 Known /10 Possible features)

Continuous Improvement & Risk Management
(0 Yes /0 Known /10 Possible features)

Investment Compliance Monitoring for Risk & Compliance

Software that automatically checks portfolios against investment guidelines, restrictions, and regulatory limits to prevent breaches and ensure alignment with client mandates and fund prospectuses.
More Investment Compliance Monitoring More Risk & Compliance ...

Regulatory Rule Coverage
(9 Yes /9 Known /10 Possible features)

Monitoring & Surveillance
(9 Yes /9 Known /10 Possible features)

Data Integration & Quality
(9 Yes /9 Known /10 Possible features)

Usability & Configurability
(9 Yes /9 Known /10 Possible features)

Performance & Scalability
(4 Yes /4 Known /10 Possible features)

Reporting, Analytics & Audit
(9 Yes /9 Known /10 Possible features)

Security & Access Control
(10 Yes /10 Known /10 Possible features)

Integration & Interoperability
(10 Yes /10 Known /10 Possible features)

Vendor Support & Service
(10 Yes /10 Known /10 Possible features)

Cost, Licensing & Deployment Options
(10 Yes /10 Known /10 Possible features)

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Automated Regulatory Updates The software automatically identifies and updates users about new or changing regulatory requirements.		ACA ComplianceAlpha advertises automatically identifying and updating users regarding regulatory changes as a key capability (source: product website/regulatory monitoring).
Jurisdictional Coverage The number of jurisdictions or geographies the compliance system supports for regulatory monitoring.		No information available
Rule Engine Customization Ability to customize business rules based on specific regulatory requirements for different regions or product lines.		Customizable rule engines are advertised for personal trading, gifts & entertainment, and regulatory controls (source: official product brochure).
Real-time Alerting The system provides real-time alerts on compliance breaches or critical regulatory changes.		Product supports real-time regulatory change alerting for compliance breaches (source: product documentation and overview videos).
Regulation Repository Includes a central library of all relevant regulations and historical changes.		Maintains a central regulation repository with historical change information (source: platform documentation and product page).
Audit Logs for Regulation Changes Tracks all updates or changes made to regulatory rules within the software.		Tracks audit logs of regulatory rule updates within the platform (source: compliance program management documentation and sales demo).
API Integration with Regulatory Bodies Ability to integrate directly with regulatory authority APIs for automated updates.		Direct integration with regulatory authorities such as SEC, FCA mentioned on product website and announcements about regulatory body API integration.
Granularity of Compliance Checks Level of detail at which compliance checks can be performed.		No information available
Threshold-based Triggers Set specific thresholds that trigger compliance workflows or alerts.		Threshold-based triggers are used within personal trading surveillance and other compliance workflows (official documentation and feature list).
Historical Compliance Data Analysis Analyze historical compliance monitoring data for trends or recurring issues.		Historical data analysis of compliance activities is part of reporting and testing modules (source: ACA product overview).

Identity Verification Tools Automated checks to verify customer identification documents and biographical data.		No information available
Sanctions List Screening Screen customers against local and global sanctions and watchlists.		No information available
Politically Exposed Persons Database Integration Checks customer status against PEP databases.		No information available
Customer Risk Scoring Automatically assigns a risk score to customers based on KYC data.		No information available
CDD Workflow Automation Automates collection, verification, approval and periodic review of CDD documents.		No information available
Remediation Task Management System for tracking and managing KYC/CDD remediation tasks.		No information available
Document Expiry Alerts Notifies users of expiring KYC/CND documentation.		No information available
Batch Processing Capabilities Number of simultaneous KYC/CDD checks that can be processed.		No information available
Dynamic Questionnaire Generation Generates tailored questionnaires for enhanced due diligence cases.		No information available
Ongoing Monitoring and Screening Continuous monitoring of customers for risk changes after onboarding.		No information available
Data Retention Controls Ability to configure and automate data retention policies for KYC records.		No information available

Transaction Monitoring Engine Tool that scans transactions for suspicious patterns and generates alerts.		No information available
Rule-based Scenario Builder Create and customize AML scenarios and rules for detection.		No information available
AML Case Management Tracks investigation and disposition of flagged AML cases.		No information available
Automated SAR (Suspicious Activity Report) Generation Automatically generates SARs for submission to regulators.		No information available
False Positive Reduction Tools Algorithms or features that help reduce unnecessary AML alerts.		No information available
Real-time Screening Speed The average time it takes to screen and process AML checks on transactions.		No information available
Integration with Payment Gateways Allows AML engine to monitor all transaction types by integrating with payment and core banking systems.		No information available
Peer Group Analysis Analyzes behavior compared to similar entities to detect anomalies.		No information available
Behavioural Analytics Uses AI or statistical models to detect unusual customer activity.		No information available
Multi-currency & Cross-border Transaction Detection Supports AML checks for international and multi-currency transactions.		No information available
Audit Trail of AML Actions Maintains an auditable log of all AML decisions and actions taken.		No information available

Automated Audit Trails Captures comprehensive logs of all user and system activity.		No information available
Customizable Report Generation Users can define and generate compliance reports tailored to specific regulatory or management needs.		No information available
On-demand Data Export Export of data for reporting or further analysis in multiple formats (CSV, PDF, etc.).		No information available
Scheduled Reports Ability to schedule regular reports for compliance review.		No information available
Automated Regulatory Filings Direct transmission of required reports to regulators via electronic means.		No information available
Report Customization Limits Maximum number of custom report templates users can define.		No information available
Data Retention Period Configuration Defines the configurable period for which audit log data is retained.		No information available
Exception Reporting Automatically highlights areas of concern or compliance failure in standard reports.		No information available
Interactive Dashboards Provides visuals and metrics on compliance status in real-time.		No information available
Audit Evidence Attachments Ability to attach supporting documentation to audit actions within the tool.		No information available

Custom Approval Flows Ability to design custom multi-stage approval workflows for compliance-related actions.		No information available
Task Assignment Automation System automatically assigns tasks to the appropriate personnel based on business rules.		No information available
Automated Remediation Actions Automates corrective actions for non-compliance or task failures.		No information available
Escalation Management Rules and mechanisms for escalating unresolved or overdue compliance actions.		No information available
Notification Engine Automated sending of alerts and reminders via email, SMS, or in-app messages.		No information available
Workflow Templates Library Pre-built templates for common compliance workflows.		No information available
SLAs for Compliance Tasks Ability to define Service Level Agreements for completion of compliance actions.		No information available
Parallel Processing Capabilities Number of workflow tasks that can be handled simultaneously.		No information available
Auditability of Workflow Changes Tracks and records all changes made to workflow structures.		No information available
Workflow Version Control Maintains a history of workflow iterations and allows rollbacks.		No information available

Role-based Access Controls Only authorized users can access sensitive compliance functions.		No information available
Multi-factor Authentication Requires users to provide multiple credentials for added security.		No information available
Granular Permission Management Define fine-tuned permissions at the user or group level.		No information available
Single Sign-On Integration Supports authentication with enterprise SSO providers.		No information available
Session Timeout Settings Control the time of inactivity before automatic logout.		No information available
User Authentication Logs Activity logs tracking all login attempts and access times.		No information available
Security Certification Compliance System adheres to security standards such as ISO 27001 or SOC 2.		No information available
Encryption of Data at Rest and in Transit All sensitive data is encrypted both in storage and during transmission.		No information available
User De-Provisioning Automation Automatically removes access for users who no longer require it.		No information available
Access Request Workflow Automated requests and approvals for elevated access to compliance modules.		No information available

Centralized Data Repository All compliance-related data is housed in a unified location.		No information available
Data Validation Rules Business rules that verify input and output data accuracy.		No information available
Automated Data Cleansing Automatic identification and correction of incomplete, inaccurate, or irrelevant data.		No information available
Data Lineage Tracking Tracks the origin of compliance data through its lifecycle.		No information available
Data Quality Score Measure of completeness and accuracy across data sets.		No information available
Duplicate Data Detection System flags redundant or duplicate records.		No information available
Automated Backups Regular, automated data backups for disaster recovery.		No information available
Data Encryption Applies industry-standard encryption to protect all data.		No information available
Data Masking for Sensitive Fields Hides sensitive information from unauthorized users.		No information available
Data Export/Import Capabilities Allows bulk movement of compliance data into and out of the platform.		No information available

Core Banking System Integration Connects compliance tools directly to core banking platforms.		No information available
Open APIs Provides public and/or private APIs for third-party integration.		No information available
Third-party Data Feeds Supports integration of external data sources (e.g., credit bureaus, sanctions databases).		No information available
Plug-in Architecture Supports adding external modules for expanded functionality.		No information available
Event Notification Webhooks System can send real-time notifications to external systems.		No information available
Bulk Data Synchronization Speed Maximum rate at which large data volumes can be synched.		No information available
Interbank Network Compatibility Supports compliance functionalities across multiple banking platforms/networks.		No information available
Document Management System Integration Links with DMS for seamless access to compliance documentation.		No information available
Email System Integration Ability to communicate compliance alerts and notifications via email systems.		No information available
Legacy System Compatibility Supports interoperation with older banking systems.		No information available

Intuitive User Interface Designed for ease of use and fast task completion.		No information available
Multi-language Support Platform supports multiple languages for global teams.		No information available
Accessibility Compliance Adheres to accessibility standards such as WCAG for users with disabilities.		No information available
Role-based Dashboards Custom views for different user roles within the compliance process.		No information available
Mobile Access System accessible via smartphones and tablets.		No information available
User Onboarding Tutorials Integrated help and tutorial features for training new users.		No information available
Task Completion Metrics Average time taken by users to complete standard compliance tasks.		No information available
Customizable Homepages Ability for users to set personalized dashboards or landing pages.		No information available
Search and Filter Tools Advanced search and filter functions to locate compliance records and tasks.		No information available
In-app Support/Chat Built-in channel for user support or live chat.		No information available

Integrated Policy Library Central repository for compliance policies and procedures.		No information available
Automated Training Reminders Notifies users when required training is due.		No information available
E-learning Module Integration System supports in-app or linked e-learning for compliance training.		No information available
Training Completion Tracking Tracks which users have completed mandatory training.		No information available
Certification Records Management Stores and manages certifications or proof of completion for compliance training.		No information available
Policy Version Control Tracks updates and maintains historical versions of compliance documents.		No information available
Knowledge Base Search Advanced search functionality for the knowledge repository.		No information available
Quiz/Assessment Tools Integrated tools for testing user understanding of compliance topics.		No information available
Multi-media Content Support Supports multiple formats (text, video, audio) for training content.		No information available
Feedback Collection from Training Enables users to provide feedback on training quality.		No information available

Compliance Risk Assessment Tools Enables assessment of compliance risk at entity, product, or process levels.		No information available
Automated Gap Analysis Automatically identifies gaps in existing compliance controls.		No information available
Corrective and Preventive Action (CAPA) Tracking Tracks completion and effectiveness of corrective actions.		No information available
Compliance Calendar Central calendar for deadlines related to regulatory filings or policy reviews.		No information available
Incident Management Logs and manages remediation of compliance incidents.		No information available
Heatmap Generation Visualizes areas of compliance risk across entities or processes.		No information available
Automated Remediation Recommendations Provides suggestions for closing compliance gaps.		No information available
Continuous Control Testing Frequency The number of control tests the system can run automatically on a periodic basis.		No information available
Key Risk Indicator (KRI) Monitoring Monitors leading indicators for early warning of compliance risks.		No information available
Management Review Dashboard Special review dashboards for compliance managers or auditors.		No information available

Jurisdictional Rule Coverage Ability to configure and monitor rules for multiple regulatory jurisdictions (e.g., SEC, ESMA, MAS).		ACA ComplianceAlpha advertises regulatory monitoring across global jurisdictions including the SEC, FCA, ESMA, MAS, and more, supporting multi-jurisdictional rule coverage.
Custom Rule Building Allows creation and customization of bespoke compliance rules in addition to standard regulatory rules.		Product documentation references custom and configurable rule creation, as well as bespoke logic support for compliance teams.
Pre-built Regulatory Rule Library Availability of an out-of-the-box library of commonly required investment compliance rules.		Out-of-the-box regulatory rule library cited in product and marketing materials, supporting common requirements.
Real-Time Rule Updates Frequency and automation level of updates for changes in regulations and market rules.		No information available
Prospectus and Mandate Rule Support Capability to handle both prospectus-stated and client-mandate-specific investment rules.		Supports both prospectus-stated and client-specific mandate rules, as indicated by product functionality for customizing compliance logic.
Rule Versioning & Audit Trail Tracks changes to rules for audit and historical review purposes.		Rule versioning and comprehensive audit trail are explicitly supported as part of ACA ComplianceAlpha's audit features.
Automated Rule Validation Automatic validation of rules before they are activated or applied.		Product features automatic rule validation and logic checking as part of rule deployment processes.
Pre-Trade Rule Checking Checks rules before trade execution to prevent violations.		Product enables pre-trade compliance rule checks to avoid violations, referenced in solution overviews.
Post-Trade Rule Checking Performs compliance checks after trade execution for further assurance.		Post-trade compliance testing is a component of the monitoring workflow, as described in the compliance oversight product materials.
Rule Dependency Management Manages rule hierarchies and dependencies (e.g., prioritizing fund-level over regulatory rules where applicable).		The system includes rule dependency and hierarchy management so regulatory and investor mandates can be prioritized appropriately.

Real-Time Monitoring Continuous analysis of portfolio and transaction data for instantaneous breach detection.		Real-time breach monitoring is a core feature of ACA ComplianceAlpha (see surveillance and monitoring module).
Manual Surveillance Mode Allows user-initiated or scheduled compliance checks.		System allows both scheduled and ad hoc/manual compliance checks according to workflow requirements.
Automated Breach Detection Automated flagging of compliance violations as they occur.		Automated breach detection and alerting are described in the context of real-time compliance surveillance.
Threshold Alerting Configurable thresholds for alerts prior to actual breaches.		Threshold alerting for pre-breach warnings is supported, as discussed in product documentation.
Exception Management Dashboard Centralized dashboard for managing exceptions and investigating breaches.		Exception management dashboard is highlighted as a key tool for oversight and breach review.
Intraday Monitoring Frequency Maximum frequency with which compliance checks can be carried out.		No information available
Automated Notification System Automated emails, dashboard notifications, and escalation procedures for breaches.		Automated notifications and escalation via email/dashboard are supported as part of compliance workflow.
Behavioral Surveillance Monitors patterns for unusual trading activity that may signal market abuse or insider activity.		Behavioral and personal trading surveillance (to detect market abuse and insider activity) is promoted as a feature.
Audit Trails An immutable and comprehensive log of monitoring activities and detected events.		Robust audit trails for all monitoring and compliance activities are a core system capability.
Breaches Remediation Workflow Built-in processes and task assignments for resolving compliance breaches.		Has built-in breach remediation workflows for case management and resolution assignment.

Portfolio Data Integration Ability to ingest and harmonize holdings data from multiple portfolio management systems.		Product integrates with multiple PMS (Portfolio Management Systems) for holdings and transaction data ingestion.
Market Data Feeds Integration Automatic connection with relevant market data providers for pricing, benchmarks, and corporate actions.		Integrates with major market data feeds (pricing, benchmarks, corporate actions), supported per vendor materials.
Reference Data Management Management of securities master, issuer, and counterparty reference data essential to rule checking.		Reference data management capability confirmed in product documentation and customer use cases.
Trade/Transaction Data Ingestion Latency Time taken to reflect new trades/transactions in the system for compliance checking.		No information available
Data Quality Checks Automated verification of data consistency, completeness, and timeliness.		Product advertises automated data quality and consistency checks as part of data ingestion.
Data Enrichment Capabilities System capabilities to supplement core data with additional attributes for compliance logic.		References enrichment using external datasets and calculated attributes for enhanced compliance logic.
Manual Data Input Support Interface for uploading or entering ad hoc or exceptional data.		Manual upload and input of ad hoc/exceptional data is supported through UI interfaces.
API Connectivity Availability of APIs for data ingestion and export.		REST APIs are available for data ingestion/export, mentioned throughout integration resources.
Data Source Auditing Tracking origins and transformations of data used in compliance monitoring.		Tracks sources and transformations of data for compliance auditability.
Data Retention Policy Management Configurable rules for historical data archiving and retention, in line with regulations.		Data retention and archiving policies are configurable and aligned with regulatory requirements.

Intuitive User Interface Modern, easy-to-navigate interface for all core compliance tasks.		Modern web UI is highlighted as a key selling point for ACA ComplianceAlpha.
Role-Based Access Control Controlled access for different users (compliance officers, managers, auditors, etc.).		Configurable, role-based access control is a system default for managing compliance stakeholders.
Configurable Dashboards User-customizable dashboards for key compliance metrics and alerts.		User-customizable and role-based dashboards are supported for metrics and alerts.
Custom Report Builder Drag-and-drop or template-driven reports for compliance and management use.		Custom/bespoke report generation is described as supported by either drag-and-drop or templates.
Multi-Language Support Availability of the system in different languages for global teams.		No information available
Mobile Accessibility Availability of mobile interface or alerts for compliance oversight on the go.		Mobile accessibility for alerts and oversight is mentioned as a feature.
User Preferences Personalization of system layout, notifications, and content.		Users can set preferences for notifications and UI layout.
Bulk Actions Support Ability to handle large-scale changes (e.g., rule updates, trade loads) efficiently.		Supports bulk actions and large-scale operational changes such as mass updates.
Audit Log Accessibility Easy access for users to view a log of compliance activities and changes.		Audit log accessibility for users and auditors is referenced as a compliance facilitation feature.
Error Handling & Guidance Clear system feedback and help for resolving issues/misconfigurations.		Error handling and guidance for user actions is cited as a system characteristic.

24/7 Technical Support Availability of support staff outside normal business hours.		24/7 global support is promoted in all ACA client service materials.
Dedicated Account Manager Assigned resource for ongoing relationship and escalation.		Dedicated account manager available for enterprise contracts per vendor agreements.
Onboarding & Implementation Assistance Services for setup, migration, and initial training.		Onboarding, implementation, and migration support described as part of ACA's client services.
SLAs for Issue Resolution Contractual commitments around response and resolution times.		Service-level agreements for issue response and resolution offered to customers.
Product Training & Documentation Availability of up-to-date user manuals, how-to guides, and training sessions.		ACA offers training, user documentation, and regular how-to webinars for users.
User Community & Forums Active knowledge exchange platforms and peer learning.		User communities, client forums, and knowledge sharing sessions are available.
Incident Communication Protocols Clear and prompt updates from vendor for high-impact incidents.		ACA offers incident and status page updates to clients for any major outages.
Proactive Product Roadmap Updates Regular communications about new features and upgrades.		Product roadmap updates and new feature alerts are communicated to customers.
Custom Development/Enhancement Services Ability to commission bespoke features or integrations.		Bespoke feature requests and client-driven enhancements are accommodated by ACA.
Online Ticketing & Self-Service Portal Web interface for issue logging and tracking resolutions.		Online support ticketing and self-service knowledge portal is available for ACA clients.

Transparent Pricing Model Upfront disclosure of all costs (licenses, users, data, support, upgrades).		Transparent, upfront pricing with no hidden fees is highlighted in product collateral.
Flexible Licensing Options for subscription, perpetual, or usage-based licenses.		Flexible licensing including subscription, enterprise, and custom models are offered.
Pay-As-You-Go Option Pricing available based on actual portfolios or usage.		Pay-as-you-go and scalable pricing for managed portfolios are available.
Multi-Tenancy Support Bulk pricing for organizations with multiple business units or geographies.		Multi-tenancy and bulk licensing for complex organizations is supported.
Cloud Deployment Option Available as SaaS or in major public clouds.		Cloud deployment via public or private cloud is standard; SaaS option referenced.
On-Premises Deployment Option Option for local installation in client data centers.		On-premises deployment available for clients with specific data residency needs.
Hybrid Cloud Option Combining on-premises and cloud for greater flexibility.		Hybrid cloud deployment option available for flexibility and bespoke deployments.
Trial/Evaluation License Risk-free evaluation period for testing and analysis.		Trial/evaluation licenses are provided on request for risk-free testing.
Cost Scalability Ability for pricing to scale up or down as team or portfolio numbers grow/shrink.		Pricing is scalable with portfolio/team size.
No Hidden Fees Assurance that all major costs are disclosed; no unplanned upcharges.		No hidden or unexpected fees per published pricing policies.

Maximum Portfolio Capacity Total number of portfolios the system can monitor concurrently.		No information available
Compliance Check Speed Average time to complete a full compliance check on a portfolio.		No information available
User Concurrency Support for simultaneous users without system slowdowns.		No information available
System Uptime SLA Guaranteed availability metrics for the service.		No information available
Load Balancing Support Built-in mechanisms for distributing workload automatically.		No information available
Response Time under Peak Load System performance metrics during periods of highest demand.		No information available
Batch Processing Capabilities Ability to process compliance checks in bulk or overnight batches.		Product supports batch, overnight, and bulk processing, referenced in operational documentation.
Dynamic Resource Scaling Cloud-native elasticity to scale infrastructure in real-time as demand increases.		Cloud-native infrastructure with elastic resource scaling available as per ACA hosted/SaaS solution.
High Availability Architecture Redundancy and failover for mission-critical compliance operations.		High-availability architecture and failover are described for mission-critical deployments.
Geographical Redundancy Disaster recovery and continuity planning via multi-region support.		Product supports disaster recovery and business continuity through multi-region cloud deployments.

Regulatory Reporting Templates Prebuilt formats for common regulatory submissions (e.g., Form N-PORT, UCITS KIID).		Standard regulatory reporting templates are included, such as Form N-PORT and others.
Ad-hoc Reporting Ability to generate and customize reports on demand.		Ad-hoc reporting capabilities are referenced as available.
Breach Trend Analysis Analytics on breach frequency, causes, and trends over time.		Breach analytics, heatmaps, and trend analysis are part of exception and surveillance dashboards.
Exception Heatmaps Visual summary of where and when compliance issues occur.		Exception heatmaps and similar data visualization tools are mentioned.
Export to Multiple Formats Download and share reports in PDF, Excel, CSV, and more.		Supports exporting to PDF, Excel, CSV, and other standard reporting formats.
Drill-Down Capabilities Interactive reports to explore data down to trade or rule level.		Drill-down capability is cited for interactive compliance investigations at the rule or trade level.
Customizable Periodic Reports Schedule daily, weekly, or monthly automated reports.		Periodic scheduled reporting is configurable.
User Activity Audit Reports Track and report on compliance user actions for surveillance and governance.		Audit trail and related user activity audit reporting are supported.
Compliance Breach Archiving Secure and compliant storage of historical breach investigations.		System retains and archives breach documentation securely as per compliance and regulatory requirements.
Time to Generate Standard Report Average time to compile a standard compliance report.		No information available

Multi-Factor Authentication Enhanced login security with additional verification layers.		Multi-factor authentication supported as standard for ACA ComplianceAlpha users.
Single Sign-On Integration Supports SSO via LDAP, SAML, or cloud identity providers.		Single sign-on (SSO) options enabled via SAML and other providers according to security data sheets.
Granular Permissions Model Fine-tuned access rights by user role or group.		Granular permissioning is configurable by user role/group.
Encryption at Rest Data is encrypted when stored in system databases.		Product documentation describes encryption at rest in compliance with industry standards.
Encryption in Transit Data is encrypted while moving between systems.		Data is encrypted in transit with TLS/SSL as indicated in ACA's security materials.
Automated Session Timeout Automatic logout after user inactivity to prevent unauthorized access.		System supports automated session timeouts to prevent unauthorized access after inactivity.
Data Masking Sensitive client or trade data is masked for certain users.		ACA offers data masking for sensitive data as part of privacy/compliance controls.
Audit Logging of Access Logging every login, administrative action, and data access.		Comprehensive audit logging of access is discussed in the compliance and IT materials.
Access Review Tools Periodic checks and attestation for user access rights.		Access review tools and attestation workflows are available for compliance user management.
GDPR/Local Data Privacy Compliance Data handling methodologies ensure compliance with privacy laws.		GDPR and local privacy compliance are detailed in ACA's privacy documentation and customer literature.

Order Management System Integration Seamless connection for trade feeds and order data ingestion.		Platform integrates with OMS/EMS providers for trade and order data ingestion.
Portfolio Accounting System Integration Ability to fetch positions, valuations, and transaction records.		Integration with portfolio accounting systems is a standard offering.
Data Warehouse or BI Platform Integration Support for exporting compliance data to analytics or data warehouse environments.		Exports compliance data to data warehouses and BI platforms are supported.
Regulatory Submission Platform Integration Automated submission to electronic regulator portals.		Automated regulatory submission via integration to regulator portals is promoted for efficiency.
API for 3rd Party Integration Comprehensive, documented APIs for all major functions.		Robust, well-documented APIs available for third party integrations.
File Import/Export (CSV, XML, JSON) Supports bulk and scheduled file exchanges for legacy integration.		Bulk and scheduled file import/export (including CSV, XML, JSON) is supported.
Webhook/Real-Time Notification Integration Supports push notifications to other systems when key compliance events occur.		Supports webhook or push notification integrations for compliance events.
Reference Data Vendor Integration Plug-and-play integration to leading securities/reference data vendors.		Reference data vendor integration for issuers and securities is an integration feature.
Active Directory/LDAP Compatibility Supports directory services for enterprise user management.		Active Directory/LDAP for enterprise authentication is mentioned in integration documentation.
Cloud-to-Cloud Integration Support Deploys and connects easily within cloud-centric infrastructures.		Cloud-to-cloud integration is possible for ACA's SaaS/hosted environment.

ACA ComplianceAlpha from ACA Group

Product analysis by function

Compliance Management for Compliance

Regulatory Compliance Monitoring (8 Yes /8 Known /10 Possible features)

KYC & Customer Due Diligence (0 Yes /0 Known /11 Possible features)

Anti-Money Laundering (AML) (0 Yes /0 Known /11 Possible features)

Audit & Reporting (0 Yes /0 Known /10 Possible features)

Workflow Automation (0 Yes /0 Known /10 Possible features)

User Access & Security (0 Yes /0 Known /10 Possible features)

Data Management & Quality (0 Yes /0 Known /10 Possible features)

Integration & Interoperability (0 Yes /0 Known /10 Possible features)

User Experience & Accessibility (0 Yes /0 Known /10 Possible features)

Training & Knowledge Management (0 Yes /0 Known /10 Possible features)

Continuous Improvement & Risk Management (0 Yes /0 Known /10 Possible features)

Investment Compliance Monitoring for Risk & Compliance

Regulatory Rule Coverage (9 Yes /9 Known /10 Possible features)

Monitoring & Surveillance (9 Yes /9 Known /10 Possible features)

Data Integration & Quality (9 Yes /9 Known /10 Possible features)

Usability & Configurability (9 Yes /9 Known /10 Possible features)

Performance & Scalability (4 Yes /4 Known /10 Possible features)

Reporting, Analytics & Audit (9 Yes /9 Known /10 Possible features)

Security & Access Control (10 Yes /10 Known /10 Possible features)

Integration & Interoperability (10 Yes /10 Known /10 Possible features)

Vendor Support & Service (10 Yes /10 Known /10 Possible features)

Cost, Licensing & Deployment Options (10 Yes /10 Known /10 Possible features)