RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
COVID-19 Planning Is Top RIA Compliance Concern
By Melanie WaddellBusiness continuity planning related to COVID-19 has replaced cybersecurity as the top worry for compliance officers.
June 16, 2020
RIA in a Box Launches Cybersecurity Insurance for Advisors: Tech RoundupAlso, SEC's FinHub launches virtual peer-to-peer meetups.
June 10, 2020
How Investors Can Evaluate Muni Bonds in the COVID-19 EconomyInvestors and their advisors need to be extremely thorough in the current environment. Technology can help.
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.