Sold by: ACA Group
Deployed on AWS
Automates surveillance and reporting of employee and registered reps personal trading activity and conflict of interest tracking, such as OBAs. Please reach out for scoping discussion.
Overview
Please reach out for scoping discussion.
ACAs Employee Compliance solution streamlines the management of your firms personal trading surveillance, employee certifications, gift and entertainment requests and disclosures, political contributions, outside business activity reporting, and more. It helps your firms compliance team to quickly and accurately identify potential conflicts of interest while simplifying the submission of approval requests and disclosures for employees.
Highlights
- Requests and disclosures. Identify and investigate items of interest. Political contributions monitoring.
- Automated personal trading surveillance. Electronic brokerage links. Employee certifications.
- Reporting and analytics. Security and integrations. Mobile app availability.
Details
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Delivery method
Deployed on AWS
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Pricing
Pricing is based on the duration and terms of your contract with the vendor. This entitles you to a specified quantity of use for the contract duration. If you choose not to renew or replace your contract before it ends, access to these entitlements will expire.
Additional AWS infrastructure costs may apply. Use the AWS Pricing Calculator to estimate your infrastructure costs.
Dimension | Description | Cost/12 months |
|---|---|---|
User Count | Number of user licenses on Employee Compliance Module. | $100,000.00 |
Dimensions summary
This listing uses a single pricing dimension based on user count. You buy a set number of user licenses for the Employee Compliance Module under a contract term. Pricing scales directly with how many users you license. There are no separate tiers or usage add-ons here — you pay per license, so your cost grows or shrinks with your team size. The module automates personal trading surveillance, conflict tracking, certifications, and disclosures for regulated financial firms. To size your purchase, estimate the number of employees who need access to the platform.
Top-of-mind questions for buyers
A user license covers one person who needs access to the platform. This includes employees submitting trade requests, disclosures, or certifications, plus compliance staff who review activity. Each individual with platform access counts as one user. Employees can access the platform through the web interface or a mobile app.
Your cost is tied to the number of user licenses you buy. Adding more users raises your cost; fewer users lowers it. The platform is built to scale with more users and larger data volumes. To adjust license counts mid-contract, contact the vendor for details on how changes are applied.
Each license covers the Employee Compliance Module. This handles personal trading pre-clearance and post-trade monitoring, conflict tracking, gifts and entertainment logs, political contribution records, outside business activity reporting, and certification management. It includes configurable rules, automated reminders, case management, and audit-ready reporting. Other modules are billed separately and not part of this listing.
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Delivery details
Software as a Service (SaaS)
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Support
Vendor support
zachary.jones@acaglobal.com will be the main contact. Please reach out for next steps once agreement is in place.
AWS infrastructure support
AWS Support is a one-on-one, fast-response support channel that is staffed 24x7x365 with experienced and technical support engineers. The service helps customers of all sizes and technical abilities to successfully utilize the products and features provided by Amazon Web Services.
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ACA Pacific is an established value-added distribution company serving the Asia-Pacific region for more than 30 years. As a leading Keyfactor partner, let ACA Pacific help your organization implement your Keyfactor solutions through the AWS Marketplace. For Keyfactor Professional Services Managed by ACA Pacific, please get in contact through a private offer.
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