RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 Others
By Melanie WaddellSixteen firms sought to change their off-channel messaging orders, saying firms that settled later got better terms.
April 04, 2025
FPA Rolls Out Cybersecurity CertificateThe program, which offers CE credit, aims to help financial planners safeguard their practices and clients.
March 21, 2025
Docupace Snaps Up Workflow Management PlatformThe software maker is buying Hubly, which serves the back offices of RIAs and wealth managers.
March 05, 2025
How to Personalize and Scale Full-Spectrum Financial PlanningOn March 13, learn how to deliver tailored client experiences while maintaining the efficiency needed for growth.
March 04, 2025
Citi Copy-Paste Error Almost Sent $6B to Wealth AccountThe error occurred in the same month that the bank accidentally credited $81 trillion to a different client.
February 28, 2025
Citi Erroneously Credited $81 Trillion to Client Account: ReportThe bank made the error, which it fixed, when trying to transfer $280, according to the Financial Times.
February 28, 2025
Social Security Contractors Cut Off as DOGE Targets AgencyThe acting chief says SSA has cut half of its outsourced IT spending and is dismissing 200 employees.
February 20, 2025
SEC Launches New Cyber Unit to Combat FraudThe Cyber and Emerging Technologies Unit replaces the Crypto Assets and Cyber Unit.