Carlos Guillen

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FINTECH JUN 07, 2016
How software can help smooth the transition to fiduciary-rule compliance

If a firm's transition to the Best Interest Contract Exemption is done using paper contracts and disclosure forms, it could be costly, difficult and risky to manage.

Managing the convergence of compliance and technology
OPINION OCT 12, 2015
Managing the convergence of compliance and technology

A common thread across technology-driven breaches is the failure of firms to establish and enforce policies and procedures.