Tag: Analytics

SEC embracing analytics as tool to catch crooked traders – New England In-House

According to Smith, the SEC is moving toward an aggressive data analytics-driven enforcement regime whereby the agency is able to compile and present comprehensive trading analyses demonstrating a potential violation, prior to even opening a formal investigation against an entity. “They’re not shooting first and asking questions later, but they are coming in ready to charge,” Smith said. “They’re saying,…

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