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· AI,IT,tech guidelines,asset managers tech

Dear Colleague,

Thank you for your interest in our trade association!

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? 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? 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? 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,


Joseph W. Sack, President, Asset Managers Tech

Mobile: 1-914-648-0088