RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
The Rise of Human-AI Teams in Life Insurance
By Sam HenryAI can elevate consumer trust by making Reg BI possible.
May 15, 2025
LPL Drops Suit Over Ameriprise's 'Defamatory' Data Breach NoticesThe financial services firms agreed that LPL could pursue claims with FINRA, among other points.
May 07, 2025
AdvicePay Buys Compensation Software FirmThe platform says the acquisition of AdvisorBOB is “a strategic step" to further help fee-based planners.
April 24, 2025
Nasdaq Partners With Amazon Web to Move More Markets to CloudTo start, the firms are working with the Johannesburg Stock Exchange and Mexico’s Grupo BMV.
April 18, 2025
With So Many Tech Choices, What's an Advisor to Do?Michael Kitces' Financial AdvisorTech Solutions Map has broadened to 550 offerings in 36 categories. Many advisors feel lost.
April 16, 2025
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 OthersSixteen firms sought to change their off-channel messaging orders, saying firms that settled later got better terms.
April 16, 2025
12 Trends Shaping the Future of 401(k)sThe $10 trillion retirement plan market is "at a crossroads," said KWP Growth Partners' Lisa Kottler.
April 15, 2025
FINRA Reevaluates Its Office CategoriesThe regulator is exploring the impact of new technology and hybrid work on how offices should be supervised.