Tag Archives: Tom C.W. Lin

Corporate Social Activism, ESG, and Compliance

by Tom C.W. Lin

Photo of the author.

Tom C.W. Lin

Businesses and their executives are at the vanguard of some of the most important and contentious socio-political issues of our time such as the Russian invasion of Ukraine, voting rights, abortion, gun violence, racial justice, climate change, and gender equity. Through their policies, pronouncements, investments, and divestments, businesses and business leaders are directly engaging with many of these issues.  This emergence of corporate social activism has coincided with a growing interest in environmental, social, and governance (ESG) focused investments.  My new book, The Capitalist and the Activist, explores this complicated, emerging reality of contemporary corporate social activism and the opportunities and challenges it presents for executives, social activists, policymakers, investors, and compliance officers.  Continue reading →

The Rise of FinTech and Compliance

by Tom C.W. Lin

An important transformation is happening in the financial industry. The rise of new technology and compliance has dramatically altered many of the key functions and functionaries of modern finance. Artificial intelligence, algorithmic programs, and supercomputers, instead of human actors, now constitute the core of many financial operations. At the same time, compliance officers have become just as critical to financial institutions as traders, bankers, and analysts. Finance as we knew it has changed and continues to change.

My recent article, Compliance, Technology, and Modern Finance, offers a detailed commentary on these unfolding changes—the crosscutting developments in compliance, technology, and modern finance. It examines the concurrent and intersecting ascents of new financial technology and compliance as well as the potential perils linked with their ascents. It also highlights the larger implications of the changing financial landscape due to the growing roles of new technology and compliance. In particular, it focuses on the challenges of financial cybersecurity, the integration of technology and compliance, and the role of humans in modern finance. Continue reading →