
Author

Martin Orbach
- Vice President, Risk Compliance Intelligence Platform
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November 19, 2024
Each year, the SEC’s Exam Priorities report sets the compliance tone for Registered Investment Advisors and Broker-Dealers.
By: Martin Orbach

September 21, 2023
Given that an advisor may send or receive 50 emails per day, electronic communications at large firms can become staggering, easily surpassing 10,000 messages daily.
By: Martin Orbach

April 6, 2023
With the passing of The Financial Exploitation Prevention Act in the US House of Representatives, Broker-Dealers and Investment Advisors are now better equipped to address suspected financial exploitation
By: Martin Orbach

November 10, 2022
SS&C recently hosted a webinar explaining the integration between the SS&C Black Diamond® Wealth Platform, the SS&C Risk and Compliance Intelligence (RCI) platform.
By: Martin Orbach