Enterprise Data World 2018 conference presentation

Semantic Compliance part II: The SEC Investment Adviser Act in FIBO

Session Profile, EDW 2018, San Diego:
Semantic Compliance: Dodd Frank and the Investment Adviser Act (IAA) in FIBO
Jurgen Ziemer, Ontologist at Jayzed Data Models Inc.
http://jayzed.com/

Session profile:

The IAA stipulates fund managers must register with the Securities and Exchange Commission (SEC) if they meet the definition of an investment adviser and don’t qualify for exclusion, exemption, or prohibition.

The Fund Ontology encodes these business rules in a hierarchy of defined classes.
The Reasoner infers class membership and determines the FIBO Financial Service Provider instances required to register.
The session also shows how to integrate SEC forms ADV (advisers) and PF (private funds) into FIBO.
For the business audience, we show the roadmap to Semantic Compliance with FIBO.