Fidelity Labs
Our client, Fidelity Investments’ in-house fintech incubator, retains SCA to assist in developing an innovative cloud-based regulatory product. The product seeks to automate the identification of non-compliant securities marketing communications based on general content standards developed by SCA and Fidelity Labs.
SCA utilized its expertise on financial regulation and U.S. and E.U. regulators, including the U.S. Securities and Exchange Commission, the Financial Industry Regulatory Authority, and the European Securities and Market Authority, to review samples of real industry communications and categorize them based on compliance. By reviewing these communications for compliance, Fidelity Labs has been able to develop models designed to automate the future evaluation of similar communications. Working alongside Fidelity’s data science team, product team, and communication review group, SCA has provided feedback on the effectiveness of these models, and provided continuous updates on the ever evolving regulatory landscape to ensure the success of our clients’ product.