Using Technology and Outsourcing to Enhance Compliance Programs and Manage Conflicts of Interest

One of the challenges facing compliance personnel is gathering and monitoring information from multiple sources, both within and outside a firm. A panel at the fall 2021 virtual conference sponsored by ACA Group (ACA) examined how and when advisers and institutional investors are using technological solutions and outsourcing to improve their compliance programs in general and to manage conflicts of interest and best execution duties in particular. Jordan Schwartz, partner at ACA, moderated the discussion, which featured Michael A. Kitson, deputy CCO and counsel at Bridgewater Associates LP; Owen Schmidt, partner at Schulte, Roth & Zabel; and Heather Traeger, GC and CCO of the Teacher Retirement System of Texas. This article summarizes the key takeaways from the presentation. See “Using RegTech to Enhance Compliance” (Jun. 24, 2021).

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