Expert interviews are often enormous burdens for compliance departments who are responsible for mitigating the risk of insider trading. Fortunately, AI enables robust and time-efficient compliance procedures that better monitor for material and non-public information and prevent it from reaching the wrong ears.
Listen to this webcast to hear experienced CCO and former SEC examiner, Sean Farrell, discuss with Managing Director of IQ-EQ, Darren Mooney, and Co-Founder & Vice President of Stream, Jack Templeton, how advancements in technology support precise transcription of spoken words into written text, permitting more compliant research products.
Please note: For this series, we are unable to accept registration from employees of financial services and consulting firms. Regretfully, we must cancel registrations from these entities.
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Lorem ipsum
Lorem ipsum
Lorem ipsum
Lorem ipsum
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Lorem ipsum dolor sit amet, consectetur adipisicing elit, sed do eiusmod tempor incididunt ut labore.
Sean Farrell
Managing Director, IQ-EQ and
Chief Compliance Officer, Stream
Sean has more than 20 years’ experience in regulatory compliance. Prior to joining IQ-EQ and Stream, Sean founded Sentinel Regulatory Compliance, LLC. He also served as the CCO at Greenlight Capital, Inc., a principal consultant at ACA Compliance Group and performed examinations of registered investment advisers and registered investment companies for the SEC’s New York office. He began his finance career in 2022 at Deloitte and Touche, LLP where he earned his Certified Public Accountant and Certified Fraud Examiner designations. Sean has an undergraduate degree in accounting from Rutgers, the State University of New Jersey and a masters in management from the University of Maryland.
Darren Mooney
Managing Director, IQ-EQ
Darren has more than 10 years’ experience in regulatory compliance. Prior to the IQ-EQ acquisition, he was a Partner at Greyline. Before joining Greyline in February 2020, Darren served as the Deputy Chief Compliance Officer of Partner Fund Management, and before that, provided compliance consulting services at Cordium/ACA Compliance Group. In addition to supporting the compliance programs of a variety of investment managers, Darren also regularly guides clients through the SEC registration process and SEC exams. He has a Bachelor of Science in Economics from the University of Delaware and a Juris Doctor from Suffolk University Law School. He is a member of the Massachusetts state bar.
Jack Templeton
Co-Founder and Vice President, Stream
Jack has many years of experience working with investment firms. Prior to joining Stream, Jack worked as a research analyst at Glenview Capital Management. He was also in Investor Relations at Wexford Capital LP and a Summer Analyst at Elm Ridge Capital Management. He has a Bachelor of Arts in Economics and American History from Brown University.
“Keyword search is remarkable — not only is it accurate, but it is smart enough to pick up words or phrases that are peripheral to the word you searched.”
Chase
Analyst
“Incredible depth of research over a vast amount of companies ... The user can set up alerts, enabling tracking targets and competitors, delivered to my email instantly.”
Matthew
Founder & President