Using RegTech to Enhance Compliance

In the face of ever-increasing regulatory requirements, companies may consider regulatory technology solutions (RegTech) to make their compliance processes more effective and efficient. At ACA Group’s Spring 2021 Virtual Conference, speakers from ACA Group and Boulevard Family Wealth examined how RegTech can be used to automate and facilitate compliance communications, surveillance and monitoring, regulatory filings, document and vendor management, and preparation for SEC examinations. This article distills their insights. See our two-part series on FINRA’s RegTech conference: “Digital Identification, Suspicious Activity Reporting and Machine Learning” (May 29, 2019); and “AI, RegTech Adoption and Compliance Challenges” (Jun. 5, 2019).

To read the full article

Continue reading your article with a CSLR subscription.