Speakers at Waters USA, held on December 4 in New York, noted those are the first steps into compliance measures aided by cognitive technologies such as artificial intelligence (AI) or machine learning.
Joseph Lodato, managing director and global head of compliance surveillance and technology at Guggenheim Partners, said compliance partners must explain their investigative processes to regulators, including those made possible through technology.
“We have to bring the educational level up, bec
Also: Trading Technologies is developing an OMS for the sell side and Orbital Insight is embracing a platform-as-a-service model.Subscribe to Weekly Wrap emails
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