As data analytics become central to regulatory compliance, legal professionals must understand how firms use data to guide surveillance and oversight. This CLE session offers attorneys a practical look at how firms—large and small—are adopting risk-based, outcome-driven approaches to compliance through data.

The course will discuss firm strategies, share FINRA’s latest intelligence resources (including contributions from StratIntel and the FIU), and explore how enhanced surveillance tools and report cards are shaping oversight practices. The session will also cover legal considerations around model risk management and data governance, including attorney roles in reviewing, validating, and advising on data-driven compliance systems.

Attorneys will leave with actionable insights to better support clients or internal teams in building effective, compliant, and defensible supervision programs.