Problem

In 2019 the Securities and Exchange Commission implemented new regulations on broker dealers, requiring them to only recommend financial products in the best interest of their customers. To clearly identify potential conflicts of interest and regulation-breaking financial incentives, jaccomo’s brokers needed a proactive way to sort through all their data and identify systemic risk.

Solution

With the help of InterGen Data’s predictive AI powered by machine learning, jaccomo was able to see where their current dealings were in compliance, and where they were assuming significant risk. Moreover, as a result of these data insights, they were able to create a go-forward for addressing the risk, and for building a plan which they presented to their Board, as well as investors. The plan was based on their InterGen-given ability to detect risk and work seamlessly within the regulations set for by the SEC.