Articles

Data analytics, machine learning, and investment compliance

August 28, 2020

Financial institutions that employ investment advisers to manage client portfolios and regulatory authorities that monitor those advisers have not fully harnessed the power of data analytics, artificial intelligence, and machine learning for compliance purposes.

In this article published in Bloomberg Law, the author discusses how a compliance monitoring framework could be enhanced through these tools in a way that benefits investment advisers and their clients.

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