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‘Enforcement 40’ for 2020
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March 25 Webcast: Leveraging Data Analytics to Minimize Risk in the Financial Services Industry
Please join Joshua Dennis, Ellen Lafferty, Dan Ward and A.J. Bosco for this webcast.
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 […]
Outliers Identified in SEC’s ‘Aberrational Performance Inquiry’ Initiative Sued for Fraud
New SEC cases are part of an initiative to combat hedge fund fraud by identifying “abnormal investment performance.”