It’s Not a Matter of “If” But “When” the SEC Analyzes Your Firm’s Data With Technology
Your company serves hundreds of individual client accounts and generates enormous volumes of data. Without up-to-date compliance software and solid process and procedures, there’s no way you’re prepared for a SEC data-driven exam using its National Exam Analytics Tool (aka NEAT). Enforcement actions have resulted from the tool.
Despite this exam risk, many in compliance are still relying on spreadsheets or mock exams for investment operations, providing a false sense of security.
This webinar provides new insights on how NEAT works, action steps you can take to assess your firm’s risk profile, and how to successfully fund compliance investments. Best practices and proposed solutions are discussed.
- The National Exam Analytics Tool and how it works
Enforcement actions resulting from NEAT
How to identify the data risks in your firm
- Are random sampling with spreadsheets and mock exams for investment operations obsolete?
- What steps do the experts recommend?
Getting the budget: The business case for compliance tools
Tony Turner, Principal, Financial Tracking
Douglas Levy, Director of Onboarding, Financial Tracking
Who should watch?
- CEOs, Chief Compliance Officers and senior executives responsible for creating, funding and managing compliance policy and procedures
- CFOs and IT executives searching for a compliance solution covering one, many or all areas of compliance
We’ve Got Compliance Covered!
Financial Tracking offers the only all-in-one compliance platform for the global investments industry and is the only solution that is configurable to meet SEC, FINRA and DOL requirements and unique needs of your firm. We serve the most clients with compliance solutions that enable the highest degree of compliance at the least cost. Client benefits include regulatory protection, enhanced client due diligence, operational cost reduction and overall company value creation. Clients include regulators, broker-dealers, mutual funds, money managers, hedge funds, and, public and private companies. FTT has earned the trust and commitment of investment advisory firms of all sizes. Risk and compliance solutions also offered a la carte.
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