Technology such as AI and machine learning can help compliance officers catch fraud, but more transparency, education and stronger data is needed, experts say.
Increasingly advanced watchdogs have "upped the ante" for trading firms, compliance chiefs say.
Compliance heads from Guggenheim Partners, Sierra Global Management, J Goldman & Co., and Rimes talk about trends in the regtech space. Anthony and James talk about the Symphony-Bloomberg battle.
Waters USA panelists said good regulatory technology exists but is useless without good data.
Anthony Malakian sits down with Joseph Lodato, chief compliance officer at Guggenheim Securities, to discuss the need for compliance and technology to work together in the current regulatory environment. Photos by Timothy Fadek
The solution will provide automation, single dashboard monitoring for investment manager with $127 billion under management.