CutterCast: Get Rid of the Noise and Fine-Tune Your Compliance Program
Oct 21 Thu · 2021 10:30am - 11:30am EDT
Where:

Virtual

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Event Summary

False positives are the bane of compliance professionals. Whether it is investment guidelines compliance or electronic communications surveillance, compliance staff has to deal with a large number of false positives before homing in on the real compliance violations. What are the best ways to deal with these situations? How can improved data, process, and automation help? In this CutterCast, we discuss what options are available to the compliance professional in dealing with false positives related to the following:

  • Investment guidelines compliance
  • Code of Ethics / Employee Personal Trading Compliance
  • Electronic communications surveillance

Speakers

Cutter

Gina McCafferty

Principal – Head of Research

Stacia Graham

Managing Director and Asset Management Lead

Todd Spillane

Senior Director

Shankar Subramanian

Principal – Risk and Compliance
Guests

Christopher Joe

VP and Chief Compliance Officer, AIG – Life and Retirement Funds

Whether developing operational strategies that drive meaningful value, or evaluating, selecting, and implementing systems, Cutter is here to help.