Marc Gilman

FINRA's annual Report on its Examination and Risk Monitoring Program was released in February 2022 and marks the second year of the revised format, which…

Customer protection and modernization are at the top of the Securities and Exchange Commission’s (SEC) agenda for 2022 and beyond. With the COVID-19 pandemic’s impact…

The movement to remote work during the early days of the COVID-19 pandemic was swift and sweeping.  For regulated financial services firms, the migration to…

As summer approaches and COVID-19 vaccination rates rise, organizations have signaled they will gradually move staff back into offices in an attempt to return to…

Industry specialists discuss challenge of security and compliance in a hybrid working world Since the mass shift to remote working last March, organisations have been faced with…

Technology plays a huge role in nearly every aspect of financial services today. As the world moved online, tools and infrastructure to help people manage their…

Collaboration Platforms Require Governments to Record Video, Audio, Chat and More The continued reliance on digital chat platforms is causing small and local governments to…

Marc Gilman   |  June 24, 2021 Collaboration tools like Zoom, Cisco Webex and Microsoft Teams are solidifying their place as the foundation for remote…

A recent $3 million cybersecurity consent order issued by the New York Department of Financial Services provides valuable lessons on how financial service firms—even those…

Marc Gilman and Cheree Johnson had to rely on outside counsel and their peer groups to learn about different legal fields when they took up…

In the last few years, cybersecurity, with an emphasis on protection of customer data, has topped the exam priorities and risk alerts of both the…

With every opportunity digital technology has provided to banks, customers and counterparties, it has also altered existing risks and often introduced new ones. While digital…

The COVID-19 pandemic has proved disruptive to nearly every industry and organization, including financial services regulators. Case in point. The Financial Regulatory Authority (FINRA) typically…

Organizations must fully understand the regulatory guidance on collaboration security and privacy so they can continue to implement and expand their use of tools such…

Insurance regulators are being confronted with rapidly expanding amounts of data that they must sift through to validate compliance with relevant rules and examine to…

General counsel in the United States should be keeping an eye on the European Union’s newly proposed Digital Services Act and Digital Markets Act to see…

The Commodity Futures Trading Commission’s recent guidance on cooperation credit seeks to spur more firms to self-report potential violations. Marc Gilman, general counsel at security…

The Covid-19 pandemic and its impact on “market events” will help set a path for priorities for the Securities and Exchange Commission’s new Event and…

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…

Guest Blog by Marc Gilman, General Counsel and VP of Compliance, Theta Lake As companies settle in for be extended work from home arrangements as…

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,…