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Digital Transformation of Regulatory Compliance for Financial Institutions

‘Digital transformation of regulatory compliance for financial institutions’ is the new article by Medici that looks to understand the effect that RegTech is having on the financial sector and how practitioners and regulators are responding to the new environment.   

Medici spoke to Susan Schroeder, Vice-Chair of the Securities Department at WilmerHale and former Head of Enforcement at the Financial Industry Regulatory Authority (FINRA), to glean valuable insights and a unique perspective into the role of regulatory technology and the future of compliance. 

As CUBE has long advocated RegTech’s role in the digital transformation of regulatory compliance, Medici approached CUBE’s Founder and CEO, Ben Richmond, to ask him about his thoughts on how RegTech is no longer just a “nice to have” product.

The article explores: 

  • The challenges of regulatory compliance 
  • The emergence of RegTech and how it’s transforming the compliance landscape 
  • The pros and risks of technology: RegTech is a force for good, but new technology is never without risk  
  • Regulators’ views: technology is now firmly on the regulatory agenda  
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