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.

man in suit using virtual screen with regulatory compliance app

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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