David T. Ackerman, Esq
Regulatory Compliance Expert, NICE
David is a published author, attorney, and contract specialist with over 15 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.
|12 May 2020||Digitizing the Best Product Alternative Mandate: How to Comply with Reg BI and Add Value to the Advisory Business »||Dave Ackerman||Regulations|
|8 Apr. 2020||Reg BI is Not Going Anywhere – How Firms Should Move Forward »||Dave Ackerman||Regulations|
|29 Jan. 2020||3 Take-Aways From SIFMA’s Reg BI Forum »||Dave Ackerman||Regulations|
|31 Oct. 2019||Don’t Panic: Business as Usual as FINRA Ramps Up Preparedness Reviews »||Dave Ackerman||Regulations|
|20 Jun. 2019||An In-depth look at the SEC’s Regulation Best Interest »||Dave Ackerman||Regulations|
|29 Apr. 2019||Are Compliance Teams Feeling the Impact of RegTech? »||Dave Ackerman||Regulations|