Regulatory Compliance Association Reviews

Forensic Testing and Data Analytics for Asset Managers™

Practice Edge LogoForensic Testing and Data Analytics for Asset Managers™

Date: July 28, 2015
General Session: 12 Noon to 1:30 PM
Location: Webcast (Free)

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This course provides an introduction to forensic testing and data analytics tools that investment advisers can utilize to enable proactive monitoring of trader and employee behavior and achieve more efficient use of scarce compliance resources. It has been developed for chief compliance officers, compliance directors and other compliance personnel of investment advisers, which have been tasked with enhancing their monitoring and testing of trading activity by portfolio managers, traders, and employees to identify and mitigate conflicts of interest and potential market abuse.

Students will master the following at the conclusion of this session:

  • The definition of forensic testing and data analytics
  • How the SEC is using quantitative data analytics in its examination program
  • The difference between traditional compliance testing and forensic testing with visual analytics
  • What types of data can be used in forensic testing
  • Structured data
  • Unstructured data
  • How to identify relevant analytical tests to address known market abuse risks
  • What a forensic testing framework might look like

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Danielle Ryea, JD, Senior Manager, Ernst & Young

Guest Lecturers:

Brian Coogan, Director, Asset Management Compliance, Fidelity Management & Research Company
Danielle Green, JD, Director, Chief Compliance Officer, HarbourVest Partners
Barbara Keller, JD, Deputy Chief Compliance Officer, Nomura Asset Management
Michael Krause, Senior Manager, Ernst & Young