How to protect yourself from risks of insider trading
Direct access, client identifiers and AI top the list
Firms also can use technology to facilitate client onboarding and to make client reporting more engaging and interactive
New compliance targets have emerged from the SRO's data analysis efforts
Machine learning and data analytics will play growing roles in helping regulators find wrongdoing
ShelfMonitor scans for changes to investment products
Why KYC updates have never been more important to your success
Retail investor issues, as well as registered investment advisors, will be under scrutiny
Investor protection and industry innovation highlight the SRO's compliance priorities
You can minimize compliance risk by keeping thorough, up-to-date records