Unpacking the ESG SEC Disclosure Rules Proposal
Join us for an overview of the SEC’s proposal, and learn how it will impact firms with ESG strategies and investments.
Manage eComms surveillance risk with our ComplianceAlpha® RegTech platform
Employees' increasing use of electronic platforms like Microsoft Teams, Zoom, SMS, WhatsApp, and WeChat can lead to increased or undetected conduct risks for your firm. At the same time, regulators around the globe are scrutinizing how firms are managing these risks. Our eComms Surveillance Solution can help your firm detect and mitigate these risks effectively and efficiently to protect your business.
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 an overview of the SEC’s proposal, and learn how it will impact firms with ESG strategies and investments.
Financial promotions and marketing rules is a complicated area. This course is designed to help all staff – especially marketing and investor relations teams – understand their financial promotions requirements and stay up to date with their statutory and regulatory obligations
We will discuss common deficiencies in material non-public information and how to avoid them.