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…
Marc GilmanMarch 19, 2020
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…
Marc GilmanFebruary 20, 2020
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…
Marc GilmanFebruary 3, 2020
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…
Marc GilmanJuly 17, 2019
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,…
Marc GilmanJuly 15, 2019