Firms are increasingly leveraging transcription technologies to gain data insights, but they need to understand these applications to make informed choices.
Read more
Marc Gilman
Marc Gilman is General Counsel and VP of Compliance at Theta Lake, where he advises on technology, privacy and product strategy. Marc is also an adjunct professor focusing on compliance at Fordham Law and has 15 years of law, financial services and IT experience as a litigator at Schiff Hardin LLP and in-house at Morgan Stanley. His practice includes a diverse set of technology-related regulatory issues, such as information management, voice and multimedia recording, cybersecurity, SEC and FINRA regulation, GDPR and electronic communications platforms.
Theta Lake’s Marc Gilman reviews some of the key points from a recent FINRA report that resonate for financial institutions and regtech providers. 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...
Read more
- Gary Winemaster, Craig Davis and James Needham July 19, 2019SEC Charges Engine Manufacturing Company Executives with Accounting Fraud
- Garrett M. O'Rourke and Michael J. Black July 19, 2019SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors
- Carol J. Wayland, et al. July 19, 2019SEC Obtains Final Judgments against Issuers and Promoters for Oil Well Offering Fraud
