Quantitative investment strategies present a number of unique considerations for compliance officers: model management processes, human overrides of model-generated signals, correction of coding errors, and backtested performance, among others. Recent SEC enforcement activity has shown that managers who do not adopt robust controls that are well-tailored to address the particular risks associated with quantitative investment strategies could face serious regulatory exposure.
Please join ACA Compliance Group's Michael Abbriano, Senior Principal Consultant and ACA Aponix's Mike Pappacena, Partner on April 9 at 11:00 a.m. ET, for a live webcast on Compliance Considerations for Quantitative Investment Strategies.
Discussion topics include:
- Model management processes
- Error correction
- Hypothetical performance
- Compliance oversight
This webcast will be recorded. All registrants will receive a copy of the archive.