Skip to main content


The Future of RegTech: The Challenges and Opportunities

February 05, 2019

RegTech tools can present both tremendous opportunities and tremendous challenges for firms and regulators alike. They can also pose some interesting philosophical questions when it comes to their implementation. 

On this special episode of FINRA Unscripted recorded at FINRA’s RegTech conference in New York, we hear three unique perspectives on these opportunities and challenges. Joining us on this episode are: Nick Cook, head of RegTech and Advanced Analytics at the United Kingdom’s Financial Conduct Authority (FCA); Michael Pieciak, Vermont’s Commissioner of Financial Regulation and the president of the North American Securities Administrators Association (NASAA); and Haime Workie, FINRA’s senior director of Emerging Regulatory Issues. 

Listen to hear Nick, Mike and Haime discuss some of the most common ways firms are currently using RegTech, the challenges in implementation, key areas to watch and more. 

Resources mentioned in this episode:

RegTech White Paper

FinTech at FINRA

Innovation Outreach Initiative

RegTech | FCA


Vermont Website

Find us: X / Facebook / LinkedIn / E-mail

Subscribe to our show on Apple Podcasts, Google Play and by RSS.