Picture from previous roundtable at New York’s Penn Club. Twenty Chief Compliance Officers from across the industry joined Eddie Cogan, CEO & Founder of Catelas and the Catelas team to discuss key challenges facing the industry today.

Catelas Surveillance Roundtable – Policy creation: Dec 5th Boston

Boston

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Reserve your spot:


Policy creation process

Dec 5th: 8am to 10:30am

How to craft risk policies yourself:

  • Insider Trading, Control & Monitoring of MNPI
  • Active Deal Monitoring & Control Room
  • OFAC Surveillance
  • GDPR & the new cost of PII leakage
  • Conduct Risk

This forum is an open dialog between experienced surveillance practitioners on how to deliver on the promise of next gen. surveillance.

Catelas Intro Video – 3 mins

“The group was excellent – an interesting mix of thoughtful perspectives made it well worth the time. We look forward to the next event.”

Jason Nagy, Senior Compliance Officer, Perella Weinberg Partners

Topics Covered at last roundtable

20 Chief Compliance Officers from buy and sell sides shared their experiences and discussed their efforts to successfully roll out more defensible and effective surveillance systems. Lessons learned covered :

  • AI / Machine Learning – Myth of Magic, a practical guide to its use
  • Successful Deployments – what they look like and how to get there
  • The Business Case for Surveillance Technology – how to garner management support

With a more effective surveillance technology in place, more attention needs to be focused on how to manage risk, conduct and control violations. In many cases, a new operating model is worth considering.

“I thought it was a great meeting and I look forward to participating in the future”

CB Richardson, Managing Director, Legal and Compliance, Blackstone

Defensibility of AI & Machine Learning

Learn about the three key concerns raised by compliance officers and surveillance practitioners:

  • What is AI / Machine Learning? How can it be used defensibly?
  • Compliance Policy Library: buy versus build
  • Defensibility of next generation surveillance technologies

Eddie Cogan, CEO and founder of Catelas is interviewed by Alan Morley, Chair of the Catelas User Community after the most recent Surveillance roundtable held by Catelas at the Penn club in New York.

Catelas Insights Q3 2019

See what firms are saying about:

  • Surveillance – the new baseline
  • Surveillance ROI – time to value
  • Defensibility of AI
  • How to achieve 100% coverage
  • The Compliance ecosystem
  • Industry trends
    • Commoditization of the archive

HOLISTIC SURVEILLANCE: MULTIPLE ALGORITHMS WORKING TOGETHER

Machine Learning

Unsupervised Machine learning is used to significantly reduce false positives by up to 95%. Each day new models are automatically created to track constantly changing false positives.

Relationship Analytics

Understanding where strong active relationships exist, both internally and externally, helps map out how a firm does business. Understanding these natural channels is key to understanding risk.

Behavioral Science

Learning what are ‘normal’ and ‘anomalous’ behaviors across communities, allows Catelas to uncover key leading indicators of risk at the employee and message level.

Social Network Analysis

Understanding how people connect within groups is important to how Catelas gains a more holistic view of risk and risk modeling. Knowing that apparently disparate conversations are related is key.

NLP

Advanced Natural Language Processing (NLP) algorithms are used to dynamically cluster content, uncovering new topics of conversation which can then be mapped against defined risks.

Risk Modelling

Combining risk scores such as Conduct Risk, Collusion Risk, Content Risk along with risk signals from across the bank, allows Catelas to build up a more selective understanding of risk.

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