Marc Gilman

Brokers and investment advisers should “closely review” their policies and procedures for supervising their remote workers during the coronavirus pandemic, the SEC said. Firms may…

As companies settle in for be extended work from home arrangements as part of COVID-19 response, the compliance and security controls of widely used collaboration…

A recent notice from FINRA gives compliance officers with remote workforces insights into the agency’s approach to remote work and supervision risks, which will be…

In the wake of the COVID-19 pandemic, many firms are working from home using collaboration tools. Theta Lake’s Marc Gilman provides insight on regulatory requirements…

Payments, investing, financial planning and lending often spring to mind as “classic” fintech startups, but other business models like regtech, compliance, human resources and marketing…

The Financial Industry Regulatory Authority’s Annual Risk Monitoring and Examination Priorities Letter provides a roadmap of key compliance issues for firms to consider in advance…

Theta Lake’s Marc Gilman explains that as firms increasingly leverage transcription-based technologies to gain insights into data, they must understand the basic mechanics behind these…

Technology has been used to manage regulatory risk since the advent of the ledger book (or the Bloomberg terminal, depending on your reference point). However,…