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The Use of Data Analytics in Enforcement and Corporate Compliance  


Author:  Claire Rajan.; Ayyan Zubair.


Source: Volume 56, Number 21, December 1 2023 , pp.301-305(5)




Review of Securities & Commodities Regulation

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Abstract: 

AI and data analytics have captured the popular zeitgeist and its effect on regulatory enforcement and compliance is growing. This article addresses how regulators have used data analytics in enforcement actions to date, as well as how they hope to use technology in new ways to identify new potential enforcement cases. We also address how to incorporate data analytics into corporate compliance programs to detect misconduct and note some practical considerations to keep in mind when incorporating this technology into compliance programs.

Keywords: SEC’s Advanced Relational Trading Enforcement Metric Investigation System (“ARTEMIS”); Earnings Per Share (“EPS”) Initiative; Market Abuse Unit; BrewRight; Privacy Risk

Affiliations:  1: Allen & Overy LLP; 2: Allen & Overy LLP.

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