Regulatory analytics: Keeping pace with the SEC

5 insights into compliance

As 2016 drew to a close, the US Securities and Exchange Commission (SEC) touted its “vastly increased use of data and data analytics to detect and investigate misconduct.”1 The increasing scope and sophistication of analytics employed by regulators compel financial services firms to examine how they can use analytics, both in retrospective “look-back” manner and proactively, to address growing scrutiny and enforcement. Below are five insights that can be helpful in formulating a regulatory analytics strategy.

  • Regulators may be more steps ahead of you than you think
  • Analytics can uncover diverse mistakes and wrongdoing
  • Small doesn’t mean invisible
  • Firms can level the playing field with analytics
  • Analytics provide benefits beyond compliance

Regulators have embraced analytics as a powerful tool to find answers, gain insights, and identify red flags in investment firm data and filings. In response, forward-looking firms are beginning to recognize that a new approach to regulatory analytics can be invaluable in identifying and proactively addressing issues before they come into view of regulators. Learn more about this approach by reading our full report Regulatory analytics: Keeping pace with the SEC.


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