Building a Gold Standard Compliance Program, Session 4: Implementation - Part 2
Join us for part four of our live webcast series about creating a best-in-class compliance program.
Manage your employees use of electronic platforms to communicate with colleagues and clients with ComplianceAlpha®
Employees' increasing use of electronic platforms like Teams, Zoom, SMS, WhatsApp, and WeChat can lead to increased conduct risks for your firm. At the same time, regulators around the globe are scrutinizing how risk and compliance management teams are mitigating these risks.
Our solution is an integrated, machine learning-based surveillance and investigations platform that provides global buy- and sell-side firms with a complete view of potential high-risk activities and behavior across their organization.
Our patented behavioral algorithms define context and isolate conversations of interest to uncover how your employees connect, form groups, and conduct business. Machine learning technology combined with natural language processing (NLP) then maps your employees’ behaviors, activities, and relationships — both internally and externally — to help you zoom in on potential conduct risks.
Machine learning technology dramatically reduces false positives by constantly teaching itself using your firm’s own data – automatically and unsupervised. This means your firm can manage the technology and analyze the results without the help of data scientists or a third-party vendor.
Join us for part four of our live webcast series about creating a best-in-class compliance program.
This webcast will break down the restricted activities and limitations to preferential treatment established by the SEC's Private Fund Reform Rule.
Learn how technology can help you streamline the Best Execution review process and meet regulatory requirements.