Category

Articles

Articles
February 28, 2019

Helping compliance teams with KID validations for PRIIPs by Marc Gilman

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…
Read More
Articles
February 28, 2019

Marc Gilman Discusses FINRA’s move to foster RegTech in Corporate Compliance Insights

The end of 2018 found the Financial Industry Regulatory Authority (FINRA) busy issuing guidance on several fronts, including the release of a report on “Technology…
Read More
Articles
February 14, 2019

Theta Lake’s Anthony Cresci discusses AI and more with SalesTech Star

SalesTech Interview with Anthony J. Cresci, VP Business Development and Operations, Theta Lake. Read the full interview here.
Read More