David T. Ackerman

Subject Matter Expert, Communications Compliance Line of Business

David is a published author, attorney, and contract specialist with over 10 years of experience in the compliance field. As a recognized financial services compliance expert, David frequently shares his insights on national radio talk shows, including Bloomberg radio. He has participated in and chaired panel presentations at the ABA Business Law Annual Conference, conducted original empirical research on international contracting methods, and was a member of the New York State Bar Association’s delegation to the United Nations Commission on International Trade Law (UNCITRAL).

He currently undertakes market research on MiFID II, communication compliance, emerging market economies, and the effective use of fintech/big data for compliance process evolution. Current projects include educating financial institutions on MiFID II, MAR, Dodd-Frank, GDPR, and the compliance obligations of crypto exchanges.

Are Compliance Teams Feeling the Impact of RegTech?

Recently, Octavio Marenzi, CEO of leading research and advisory firm Opimas, posted the chart below on LinkedIn, which illustrated the disparity between the staffing…

Seeing the Cloud Through the Fog of Brexit

With the March 29 deadline for a Brexit deal quickly approaching, companies around the globe are contemplating the regulatory implications on their operations and…

Mastering Householding to Increase Returns and Reduce Risk

​Financial regulators worldwide are enforcing suitability and supervisory requirements designed to protect investors working with wealth management firms, retail brokers and registered investment advisors.…

Automated Trade Reconstruction Ushers in New Era of Accountability

Swaps are contractual agreements between two parties who agree to exchange one set of cash flows for another. For Hedgers and speculators who buy…

How Do You Deter Corporate Fraud in One of Asia’s Biggest Financial Hubs?

Recently Hong Kong’s securities watchdog, the Securities and Futures Commission (SFC), and the Hong Kong Police (HKP) signed a memorandum of understanding (MoU) for…

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