AIMA Workshop: Communications Surveillance

USA

The SEC’s Office of Compliance Inspections and Examinations (OCIE) has made electronic communications surveillance a point of focus for years now, bearing out in the form of sweep exams, published risk alerts, examination priorities and as an element of numerous enforcement actions. Following a number of well-publicized failures in the industry, some of which involved MNPI; regulatory expectations are high and will only increase as methods and use of electronic communications grow. In addition, monitoring across multiple communication platforms with increasingly complex and fast-growing data sources has become overwhelming - particularly for firms with multiple systems and manual processes.

Red Deer, in association with AIMA, is hosting a workshop to help hedge fund compliance teams understand the challenges of communications surveillance and demonstrate techniques to manage them successfully through the use of technology. 

During the workshop, we will:

  • Break down the components of surveillance and the data channels it involves
  • Consider approaches for tying policies to surveillance processes
  • Review case examples - step by step - using technology, in an interactive demonstration to identify issues such as potential insider trading, front running on research recommendations or trading flow, confidentiality breaches and MNPI
  • Walk through a compliance manager’s surveillance workflow, end to end
  • Outline measures of success for a “best practice” communications surveillance process

Speakers:

  • Joel Burnette, Director, Solutions Consultant, Red Deer 
  • Suzan Rose, Senior Advisor, Government & Regulatory Affairs, AIMA

Questions may be submitted anonymously ahead of and during the workshop. We hope you will join us for what we expect to be an informative and lively discussion on this important topic.
 

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