Analysis of key regulatory developments for ensuring the deployment and use of modern communications meets regulatory expectations. For those responsible for maintaining compliance, security and data privacy across unified collaboration platforms, our regulatory perspectives provide expert insight into the topical issues, how to comply, lessons to learn together with emerging good and better practices.
About the Authors
Director of Regulatory Intelligence
Stacey English is Director of Regulatory Intelligence for Theta Lake, a leader in modern collaboration compliance and security solutions. She has over 25 years' experience in financial services regulation and technology as a former regulator for the now FCA and as a risk and compliance practitioner in global banks and insurers. For more than a decade, she led Regulatory Intelligence for Thomson Reuters providing regulatory insight to financial services firms including global industry research covering conduct, culture, and the cost of compliance. She’s also a qualified accountant, a published author on conduct and accountability in financial services and an Honorary Fellow of Cambridge Judge Business School – providing expert guidance to the Cambridge Centre For Alternative Finance.
Senior Regulatory Intelligence Expert
Susannah Hammond is senior regulatory intelligence expert at Theta Lake. She has over 30 years of wide-ranging compliance, regulatory and risk experience in international and UK financial services. She has held senior compliance roles at firms such as Warburgs, HBOS, GE Capital and Caspian before joining Complinet which was acquired by Thomson Reuters. Susannah is a well known thought leader in financial services and was the inaugural host of the popular podcast Compliance Clarified.
General Counsel & VP of Compliance
Marc Gilman is a technology attorney, compliance executive, and adjunct professor of compliance at Fordham Law bringing 15 years of law, financial services, and IT experience to his leadership role at Theta Lake. Gilman’s legal expertise focus on global technology-related legal and regulatory issues, such as information management, software and product development, cybersecurity, SEC and FINRA regulation, GDPR, and electronic communications platforms. Gilman is a certified information privacy professional with both the CIPP/E and CIPP/US credentials.
U.S. SEC replaced its antiquated “non-erasable, non-rewritable” electronic recordkeeping requirement in place since the late-90s with a technology-neutral approach centered around audit trail data, which…