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RegTech for Compliance and Surveillance

By February 13, 2020May 27th, 2021No Comments
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Theta Lake’s Marc Gilman will join the leading names in social media and experts in wealth management for an industry discussion on the best practices, compliance considerations and latest developments in the use of digital communications platforms.

Marc and a panel will cover the various forms of technology that firms use to enhance compliance and surveillance of electronic communications, including how and when firms decide to use third party vendors. Can firms fully comply with regulatory requirements without implementing a regtech solution? Should firms consider regtech solutions before implementing a social media policy at their firms?

The “RegTech for Compliance and Surveillance” seminar will be hosted on February 20th, 2020 at 3:10pm. More information.