RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
November 28, 2018
Just Do It: A 2018 Year-End Action List for AdvisorsGetting ready for the holidays is the easy part of advisors' year-end duties. For the tough tasks, here's a "must-do" checklist to help advisors tackle business processes and client needs in late 2018.
November 28, 2018
SEC, DOL Share Details on Plans for Advice StandardsBoth regulators are expected to finalize rules for conduct standards by September 2019.
November 28, 2018
What's Inside the SEC's Best Execution Risk AlertAdvisors often don't realize that best execution requirements have many facets, all of which are worth a careful review.
October 26, 2018
Wall Street Giants Fight Over Who Helps Small Investors MostFirst discussion from SEC roundtable brings fireworks from both sides.
October 25, 2018
How to Break Up With Your Technology VendorIf you are frustrated with your technology provider, here's how to work out the separation agreement.
October 19, 2018
2 Common Email Spoofing Scams to Avoid: SECThe SEC made an example of nine firms that lost a total of $100 million to email fraudsters.
October 18, 2018
SEC Launches FinHub PortalThe new fintech hub provides one-stop information on digital marketplaces, automated investment, blockchain and AI.
September 27, 2018
Do You Recognize These 3 Cyberscams?This month brings forth the importance of cybersecurity; here are three ways fraudsters have successfully stolen money.
September 14, 2018
How RIAs Can Tackle Cybersecurity to Fit Their Firm Size and GrowthRightSize Solutions offers a new centrally managed platform to meet regulatory needs and protect data.
September 10, 2018
4 Regtech Challenges for BDs to Watch For: FINRAA new buzzword — suptech, or supervisory technology — is also coming into play.