Adapt to Ever-Changing SEC Regs with an AI-Driven Strategy Tailored for Private Funds

This webinar was recorded shortly before a federal appeals court vacated the SEC’s Private Fund Advisor Rules. While the SEC determines their next steps, forward-thinking firms can utilize the tactics in this webinar to stay ahead of any future regulations by leveraging technology to optimize their manual data processing and reporting workflows.

Last year, the SEC implemented new reporting rules for private funds, including performance, fee, and expense disclosures. After coming under a high level of scrutiny, the new regulations were overturned by a federal appeals court. However, the SEC is determining their next steps, potentially appealing the ruling or releasing new regulations with a narrower scope.

While future changes in regulations are uncertain, firms are still under pressure to provide more transparency and act faster in their fund reporting. Firms that are able to extract, store and report on this information quickly will be able to adapt and stay ahead of regulatory changes without increasing their operational costs.

Experts from Alkymi and Lionpoint, an Alpha Group company, explain the challenges these types of rules present and how forward-thinking firms can stay ahead of any future regulations utilizing technology and optimized processes, workflow changes that can have positive effects for firms well beyond meeting regulatory requirements.

In this webinar, you’ll learn: 

• What the SEC rules covered: We will start with a detailed analysis of the 2023 SEC regulations—discussing implications that rules like these can have on your operations and internal processes.
• Considerations for operational adjustments to become more adaptable: How firms can strengthen quality controls and compliance processes to guarantee accurate reporting and better data management.
• How to evaluate technology that can scale: Which technologies you can apply to data pipelines to speed up processing and how to evaluate solutions. 

Moderator 

Keerti Hariharan is a product manager at Alkymi who collaborates with Engineering and Data Science teams to deliver AI-driven solutions for the financial services sector. With a background in operations research and information engineering, she previously worked at Bloomberg on buy-side solutions for asset and investment managers. 

Panelists 

Jason Almeida, with over 20 years of alternative asset management experience, serves as Lionpoint’s global head of limited partner services. His expertise covers strategy, operations, client management, and fund performance reporting in the financial sector. He has a long track record in enhancing operational excellence across various financial institutions. 

Kyle Williams leads Alkymi’s data science initiatives, using his over a decade of expertise in AI, machine learning, and natural language processing to enhance product innovation. His career includes data science roles at Microsoft. With a Ph.D. from Penn State, he has authored over 50 peer-reviewed papers on data science and AI.