AIMA Workshop: Alternative Data and OCIE: How, What and Why You Should Prepare Ahead of Your Next SEC Exam


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The SEC’s Office of Compliance Inspections and Examinations (OCIE) identified Alternative Data as an examination priority for the first time in 2020, in recognition of its growing use and possible regulatory concerns. While the alt data space continues to rapidly evolve, many are concerned with the absence – and conversely, potential requirements – for usage standards and regulatory expectations. Going forward, what can be expected as OCIE focuses on this area and examines managers who have integrated alt data into their investment process?
Promontory, in association with AIMA, is hosting a webinar to assist fund managers in identifying and addressing potential compliance risks of alt data usage now, before problems arise – or OCIE schedules an examination.

During this webinar, we will discuss:
•    Points of concern in acquiring and using alt data
•    Specific MNPI risks - the core of regulatory focus
•    Best practices to mitigate conflicts of interest and prevent reputational damage
•    How to prepare for a related OCIE exam

•    Jane Jarcho, Senior Advisor, Promontory Financial Group, an IBM Company, and Former Deputy Director of OCIE
•    Sarah Curran, Director, Promontory Financial Group, an IBM Company, and former Exam Manager in OCIE’s Private Funds Unit
•    Drew Weilbacher, Director, Promontory Financial Group, an IBM Company, and former Senior Specialized Examiner in OCIE's Private Funds Unit

Moderated by: 
•    Suzan Rose, Senior Advisor, AIMA


In partnership with: