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Leveraging AI to Minimize Regulatory Enforcement Action Risk

Authored by: Lisa Toth, Hatstand (a Synechron company)

SEC announced their FY 2016 enforcement results on October 11th. With total actions of 868, they are up 8% year on year, with total disgorgement and penalties remaining in the ball park of prior years’ filings at the $4 billion level. Their most signification enforcement actions included insider trading charges, and violations of customer protection rules and the Foreign Corrupt Practices Act.

Anti-money laundering violations continue to remain a key area of enforcement action and the SEC brought its first ever charges for failing to file Suspicious Activity Reports (SARs), auditor independence failures, and violations of the fiduciary duties for municipal advisors. The SEC has changed the way they run their enforcement program and have been relying more on tracking illicit behavior using data analytics to identify anomalies in the market place.



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