March 14, 2019
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…
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…
