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Author

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Martin Orbach

  • VP, Compliance & Surveillance

Meet Martin

Martin leads Black Diamond’s Compliance & Surveillance solutions, providing clients guidance and thought leadership on the use of surveillance technology and FINRA and SEC regulations. Martin has spent most of his 38-year career on Wall Street as a Chief of Compliance with Broker-Dealers and Investment Advisors.

Prior to joining SS&C, Martin founded Subserveo, a company that brought RCI to market. Martin is a FINRA Certified Regulatory Compliance Professional and holds advanced certifications from the Association of Certified Anti-Money Laundering Specialists, ACAMS.

Martin's Insights

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November 19, 2024

Beyond the Headlines | Key SEC Compliance Focus Areas for 2025

Each year, the SEC’s Exam Priorities report sets the compliance tone for Registered Investment Advisors and Broker-Dealers.

By: Martin Orbach

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September 21, 2023

The Digital Oversight Dilemma | Ensuring Compliance with Communication Regulations in Wealth Management

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

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April 6, 2023

Financial Exploitation of Vulnerable Investors: Know the Red Flags

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

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November 10, 2022

Monitoring for Insider Trading

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

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