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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.
The EEOC released dashboard information on pay collected in 2017 and 2018 in EEO-1 Component 2 submissions with a stated purpose of allowing companies to...
In the era of ESG and socially responsible investing, the ubiquity and virality of social media holds sway over businesses. Simply being profitable is no...
