Lecturer Bios
Nic Seyot
Nic Seyot serves as Head of Information Management for Morgan Stanley and as Head of Data & Analytics for the Legal and Compliance Division. Nic joined Morgan Stanley in 2014 to help create services and tools to better organize, retrieve, retain and protect the firm’s information.
Since 2019, Nic leads the Data & Analytics team who provides advanced analytics and visualization for trade and financial crimes surveillance. Prior to joining Morgan Stanley he worked at GE Capital, where he held increasingly senior roles in information management. Nic earned his Master’s in Information Sciences and Knowledge Management from the Sorbonne in Paris.
Max Tourtelot
Max Tourtelot, a Senior Director in FINRA’s Options Regulation department of Market Regulation, graduated
from UC Berkeley with a degree in Economics before moving to New York. Mr. Tourtelot began his FINRA
career at Amex Regulation in 2003 after having first worked at JP Morgan.
He has extensive experience
working with large data sets, including proprietary and consolidated option data, including the design of the
LOPR data processing submitted by broker dealers and processed by the OCC.
Mr. Tourtelot is also an active
participant in the Intermarket Surveillance Group, a collection of international regulators designed to share
regulatory intelligence, previously serving as Deputy Chair and Chair of the Derivatives Subgroup. At FINRA,
Mr. Tourtelot’s teams cover OTC options as well as cross-market and cross-product manipulation and various
options reporting reviews for all 16 listed market options. The surveillance reports he developed over the past
18 years have become the basis for regulation across all option exchanges. Some of the systems developed
by Mr. Tourtelot are used across the organization, including the Market Aggregator X-ray, which started as
his Createathon 2019 project to share Market Regulation data with Member Supervision staff. Max also
represents FINRA’s option interests on various industry calls for CAT.
