Author: Theta Lake

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Easing Compliance Supervision Challenges for PRIIPs KID Verifications The EU Regulation on Key Information Documents for Packaged Retail and Insurance-based Investment Products came into effect on January 1, 2018. Since that time, financial services firms have been grappling with a host…

FINRA’s Move to Foster Regtech Theta Lake’s Marc Gilman reviews some of the key points from a recent FINRA report that resonate for financial institutions and regtech providers. The end of 2018 found the Financial Industry Regulatory Authority (FINRA) busy issuing…

Tell us about your journey to Business Development in the Audio-Video Communication industry. My career started in Financial Services, Investment Banking. I continued applying that skill set when I moved over to Proofpoint, a cloud security vendor, as part of their Corporate…

Regulations, if created correctly, can help innovation, what institutions have to find is the right balance between experimenting new ideas and meeting regulatory regimes, according to a panel at the Global WealthTech Summit 2018. There has been an unprecedented level of…

RegTech and automated software provide significant advantages for asset managers and wealth managers alike. We’ve witnessed a rise of the machines in the finance sector, which coincides with the impact of the 2018 regulations, like MiFID II and GDPR. Following the fallout,…

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