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Surveillance Program Gap Analysis Checklist

Is your surveillance program truly risk-based?

ACA’s team of experienced professionals have developed a checklist to help firms determine whether their surveillance program has gaps and where it may need improvements.

It is impossible for compliance departments to monitor employee accounts that are not linked to their system (unregistered accounts), however, firms need to be aware that regulators can detect misconduct involving these accounts using sophisticated technology. So, what can firms do to capture these risks?

Download our updated surveillance program gap analysis checklist, which now includes expanded reviews of public and private events, eComms surveillance, and more.

This list is not intended to be exhaustive; ACA’s team can help analyze the results and determine the best path forward if enhancements are needed.

 

About our holistic surveillance solutions


ACA’s integrated surveillance solutions are designed to help your firm manage its firm-wide conduct and regulatory risks in a way that meets expectations and industry best practices. Our offerings include consulting, managed services, and technology to provide a holistic solution for developing and executing a comprehensive and truly risk-based surveillance program.
 
For questions or to discuss how ACA can help your firm strengthen its surveillance program, increase efficiencies through technology, and ensure your regulatory obligations are met, reach out to your ACA consultant or contact us here.