Guggenheim Partners LLC
The Promise and Peril of Cognitive Compliance Tools
Compliance officers say they are increasingly looking at AI-powered tools to help with things like surveillance, reporting and fraud monitoring.
2014: A Year in Profiles
12 months, 12 C-level execs profiled in the pages of Waters
Innovation Suffering in Back Office Tech, Says Panel
Innovation in financial service technology is dead. So said Joseph Lodato, chief compliance officer at Guggenheim Securities, at a TSAM panel discussion last week.
Financial IT Not Flexible Enough for Regulatory Changes, Says Waters USA Panel
Guggenheim Partners’ chief compliance officer summed up his position on adaptable IT with a question rather than a statement. “How many people think technology is flexible?” Joseph Lodato asked the audience at Waters USA. There were almost as many…
Financial IT Not Flexible Enough for Regulatory Changes, Say Panelists
Guggenheim Partners’ chief compliance officer summed up his position on adaptable IT with a question rather than a statement. “How many people think technology is flexible?” Joseph Lodato asked the audience at Waters USA. There were almost as many…
VC Funds Focus on Data Analytics and Research
Venture capital (VC) funds are turning toward analytics and research providers as the supply of low-latency and alternative liquidity sources has surpassed critical mass.