RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
February 01, 2019
AI Will Transform Surveillance Programs – EventuallyFINRA is in the early stages of using these technologies for surveillance; most firms haven't started.
January 31, 2019
4 Ways to Curtail Insider Cybersecurity ThreatsCyber threats from employees can be reduced or rectified by taking these pro-active steps.
January 31, 2019
Behind the Screen: 16 Top Women in WealthTechInvestment Advisor proudly presents its inaugural list of the most influential female financial professionals in the field of technology.
January 31, 2019
Start 2019 Right by Syncing Your Personnel ProtocolsCompliance for advisors doesn't only mean SEC issues. Indeed, several internal factors can trip up advisors, especially with personnel.
January 31, 2019
New Leaders Take Over in WashingtonAll eyes will be on the Democrat-controlled House committees that influence policies affecting advisors and broker-dealers.
January 31, 2019
Revolutionizing Digital Investor & Fund OnboardingBringing on new clients can be a headache. Digitization is necessary to help clients and advisors.
January 22, 2019
FINRA Forum Shows Promises and Pitfalls of New TechnologiesHow experts from the securities industry and its regulators view AI, blockchain and other new technologies
January 10, 2019
Bitwise Files for Bitcoin ETF With the SECThe firm says the filing addresses the agency's key concerns about custody and Bitcoin prices.
December 21, 2018
4 Ways to Build a Successful Business Plan for 2019Each and every part of a business plan today should include technology; here's how to make tech plans work in the year ahead.
December 21, 2018
FINRA Issues Report on Best Cybersecurity PracticesThe group highlights five areas of focus, such as how to limit phishing attacks and how to implement controls on mobile devices.