The Evolution of Expert Calls from a Compliance Perspective

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.

In this webcast, experienced CCO and former SEC examiner Sean Farrell discussed with Managing Director of IQ-EQ, Darren Mooney, and Co-Founder and Vice President of Stream, Jack Templeton, how advancements in technology support precise transcription of spoken words into written text, permitting more compliant research products.

Watch to learn how:

• Primary research can overcome common compliance issues
• Traditional compliance controls and methods fall short
• Advancements in technology can improve investment research, reduce compliance risk, and conserve resources for higher-priority objectives
• Access to libraries of expert call transcripts reduces compliance risk