Marc Gilman

As enterprise communications technologies have evolved, the challenge of managing business activities and enforcing rules for communication between groups has grown increasingly complex. This challenge…

How to Think About Modern Collaboration 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

Theta Lake’s Marc Gilman analyzes practical ways compliance offers can avoid pitfalls of off-channel communications and recordkeeping by employees. The Securities and Exchange Commission announced that 16…

Theta Lake’s Marc Gilman examines best practices for compliance officers after release of FINRA’s 2024 Annual Regulatory Oversight Report, which introduces new expectations for off-channel…

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

Generative AI refers to a set of technologies that produce new data based on the information they have been trained on–these applications “generate” new information…

In late-2022, the Financial Conduct Authority and Prudential Regulation Authority (the “Regulators”) jointly issued Discussion Paper DP5/22 (the “Paper”) soliciting feedback on the use of artificial intelligence…

When it comes to dynamic messaging content from collaboration tools like Webex, Zoom, Slack, and Microsoft Teams as well as SMS, mobile messaging, and consumer…

From ESMA, FCA, FINRA, SECIt’s clear that the flexibility regulators including ESMA, the FCA, FINRA, and the SEC offered financial services firms around the relatively…

On December 1, 2020, Canada's Office of the Privacy Commissioner (“OPC”) issued a report on a data security incident at the Quebec-based financial services firm Desjardins.  The Desjardins incident involved an insider at the firm who accessed,…

While most startup founders would prefer not to pore over laws, regulations and interpretive materials to design a perfect product, it’s an essential exercise for…