RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
May 02, 2018
SEC Denies Fee Increase Requests by Stock ExchangesThe unprecedented move was in response to requests by the NYSE, Nasdaq and Cboe Global Markets to raise data fees.
April 29, 2018
What Tech Checks to Make to Prep for Reg Exams2018 FINRA and SEC exam priorities can serve as a refresher for your technology practices.
April 24, 2018
Former CFTC Chief Warns Major Cryptocurrencies May Be SecuritiesGary Gensler says some of the biggest cryptocurrencies could probably be classified as securities subject to regulation.
April 04, 2018
What Is Regtech, Anyway?SEC Commissioner Piwowar calls the term 'ill-defined,' while Aite says the term has drawn increasing interest in the last two years.
March 22, 2018
Orion's New 'Compass' Automates RIA ComplianceProactive tools include mock audits, SEC exam data retrieval; anti-money laundering screens.
December 28, 2017
5 Trends to Watch in Fintech, Wealthtech and Regtech in 2018What innovations and emerging competitors will we witness in the coming year?
November 15, 2017
Regs and Tech Drive Asset Managers’ Back-Office TransformationFour in five managers foresee major change to their operating models within two years, the data platform Confluence reports.
September 07, 2017
RiXtrema Launches New Fiduciary Compliance ToolRiXtrema has made updates to help advisors and broker-dealers monitor retirement plans for compliance with the Supreme Courts Tibble v. Edison decision.
September 05, 2017
RIA in a Box Launches New Regtech SoftwareRIA in a Box announced Tuesday that it has released new employee trade monitoring software as part of its MyRIACompliance tool.
June 16, 2017
Why IBM’s Watson Regtech May Not Be Right for AdvisorsAI is whatever five years from now well think is normal, according to Brian Clark of Ascent.