By Amy Jones, CIPM, and Thusith Mahanama
National Society of Compliance Professionals (NSCP) Currents , 07.2015
Regulators are looking more closely at the ways investment managers present performance results to prospective investors, and the SEC is using sophisticated data analysis tools to verify the accuracy of the information being presented. The SEC is using sophisticated data analysis tools to verify the accuracy of the information and calculation methods. This article summaries how using automation can minimalize operational, regulatory and reputational risks.