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

By February 28, 2019 No Comments

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 Based Innovations for Regulatory Compliance (“RegTech”) in the Securities Industry” in September. The report highlights the opportunities and risks financial services firms face in selecting and implementing emerging technologies for regulatory and compliance purposes. From the perspective of regulatory technology (regtech) providers, the openness of FINRA’s open approach to regtech is encouraging. Theta Lake’s Marc Gilman reviews some of the key points from the FINRA paper that resonate for financial institutions and regtech providers.

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Devin Redmond

Author Devin Redmond

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