On behalf of a global technology company, the CRA team investigated thousands of third-parties and their access to the personal data of users on the client’s platform. The investigation focused on potential misuse of user data, as well as other adverse findings in the public record including sanctions violations, criminal issues and privacy violations. An in-depth technical review was also performed to analyze how third-parties were collecting and managing user data as it related to client policies. The results of our investigation became the basis for the removal of problematic entities and the improvement of the technology company’s business worldwide.
Data analytics, machine learning, and investment compliance
Financial institutions that employ investment advisers to manage client portfolios and regulatory authorities that monitor those advisers have not fully...