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Devin Redmond

Articles
February 28, 2019

Helping compliance teams with KID validations for PRIIPs by Marc Gilman

Easing Compliance Supervision Challenges for PRIIPs KID Verifications The EU Regulation on Key Information Documents for Packaged Retail and Insurance-based Investment Products came into effect…
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Articles
February 28, 2019

Marc Gilman Discusses FINRA’s move to foster RegTech in Corporate Compliance Insights

The end of 2018 found the Financial Industry Regulatory Authority (FINRA) busy issuing guidance on several fronts, including the release of a report on “Technology…
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