In the Summer 2016 edition of Commercial & Business Litigation, Aaron Dolgoff and Tiago Duarte-Silva provide an overview of statistical indicators based on recent academic research that the SEC may use in screening for potential reporting issues associated with potential alleged performance manipulation by private investment managers. To read the article, click the link below.
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...