Marc Gilman

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…