RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
May 27, 2020
Regulatory Groups Gear Up Remote Exam RequirementsFINRA reduces mediation fees and enhances action against new wave of scams.
March 25, 2020
Envestnet, CSS Launch Reg BI Tool for RIAs and BDsThe software pulls data from a firm's SEC and FINRA filings to complete Form CRS.
January 08, 2020
How Advisors Can Comply With FINRA's Stricter Fixed Income GovernanceEnsuring best execution is no longer as simple as making a few phone calls.
December 09, 2019
How Tech Could End Conflicted Financial AdviceThe RIA founder tells ThinkAdvisor how regulators could address conflicts of interest and what he thinks the industry will look like in 10 years.
November 25, 2019
Big Tech Flexes New Products at T3Advisors will find new goodies on their platforms as IBDs and national RIAs look to expand their offerings.
October 29, 2019
Why Client Feedback Is Key for Hitting Tech GoalsDon't assume you know how clients use, or even like, your technology. Instead, ask them and adapt.
September 26, 2019
AI, Machine Learning Offer Opportunities for Advisors, but Obstacles RemainAdvisors and other financial organizations face implementation, regulatory and other challenges when using AI, experts say at SIFMA Fintech Conference.
September 24, 2019
Advisors, Tech in Focus at New ConferenceWealth/Stack event highlighted forward-thinking ideas and industry VIPs.
August 01, 2019
Chalice Launches Reg BI Compliance ServicesThe membership-based group says it is responding to advisors' requests for compliance and legal support.
July 29, 2019
Now Is the Time to Do a 'Back-to-School' Tech CheckBeen away for summer and have to get back into gear? Here are ideas for when "class" resumes.