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

Devin has more than 2 decades of experience in enterprise risk and compliance. The former CEO and Co-Founder of Nexgate, a pioneer in social and digital media compliance and security acquired by Proofpoint (PFPT) in 2014, he also held executive and leadership roles at Check Point, Neoteris, Websense, and more. In addition to living in 7 countries and speaking 3 languages, Devin is a frequent public speaker that is passionate about modern digital risk and compliance technology that helps businesses gain a competitive advantage.

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