In the midst of the COVID-19 pandemic, many financial services firms are implementing work from home policies using collaboration tools. Theta Lake’s Marc Gilman provides background on regulatory responses and requirements, as well as practical advice about compliance considerations. As individuals and organizations aggressively invoke business continuity plans in the wake of coronavirus, a rapid uptick in the use of collaboration 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,”...

Firms are increasingly leveraging transcription technologies to gain data insights, but they need to understand these applications to make informed choices.

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...