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.
The Financial Industry Regulatory Authority (FINRA) has issued its latest report, and the findings could be significant for financial services firms. Theta Lake’s Marc Gilman discusses what organizations need to know. The publication of FINRA’s Report on Examination Findings and Observations is now in its third year. In 2019, the title and framing have changed slightly: “Recommendations” have been recast as “observations,”...
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Firms are increasingly leveraging transcription technologies to gain data insights, but they need to understand these applications to make informed choices.
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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...
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