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Below are the items to be discussed by members of the Q and A Task Force of Asset Managers Tech (AMT). George Marootian, Head of IT at Natixis Investment Managers, chairs the Task Force.
1) Artificial Intelligence / KYC Compliance: New Paradigm for IT and Internal Audit?
www.assetmanagers.tech Question of the day on our Website posted on 3/7
The issue for discussion by the Task Force is basically, “what’s it going to take for the buy-side to gear up for this new paradigm?” What can AMT do to help with this initiative?
2) Technology and Regulation: Is technology a pivotal issue when amending a requirement concerning whether the Fed should regulate an asset manager?
https://home.treasury.gov/news/press-releases/sm621 Info in this link was issued by the Financial Stability Oversight Council regarding buy-side supervision.This is a major change by Treasury, indicating that industry-wide activities (such as tech) be considered versus just looking at each firm. Next steps?
3) What constitutes “best execution” in the equity securities markets?
https://www.sec.gov/news/speech/clayton-redfearn-equity-market-structure-2019 Please see this speech of SEC Chairman Jay Clayton @ Fordham University
Jay Clayton points out the equities marketplace has two-tiered pricing, public trading & private, customized venues. Due to tech progress, it seems both can co-exist.
Any other suggested discussion topics for this 3/14 call are most welcome! Summary notes of this meeting of our Q and A Task Force will be sent shortly to those on the call & other members & subscribers. It is clear that the “new” technologies are beneficial to the asset management industry. This is a positive development; AMT’s job is to help manage this trend. Our Q and A Task Force meets every two weeks.
With best regards,