RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
June 03, 2024
NYSE Fixes Issue That Showed 99% Drops, Triggered Trading HaltsSome Berkshire Hathaway trades showed its shares changing hands near $185, a discount of 99.97% to Friday's closing price.
May 29, 2024
FINRA Fines Thrivent $325K Over Forged E-SignaturesAt least 15 Thrivent reps electronically signed customer names on over 260 documents since 2017, FINRA says.
May 28, 2024
Hacking Group Claims It Stole Wealthy Clients' Data From Christie'sThe group posted the information and suggested it would publish the entire trove in early June.
May 28, 2024
Former FTX Exec Sentenced to 7.5 Years in PrisonRyan Salame is the first of of Sam Bankman-Fried's close associates to be sentenced on criminal charges.
May 28, 2024
Wall Street Moves to Fastest Settlement of Trades in a CenturyIt's not the first time Wall Street has undergone such a change, but it could be the most challenging.
May 14, 2024
FINRA Fines, Suspends Rep Over WhatsApp MessagesOne client he communicated with was his former brother-in-law, who complained of investing losses, FINRA said.
April 30, 2024
LPL Nears $50M SEC Settlement Over Messaging App UseThe IBD will join more than a dozen other firms that have paid fines over off-channel communications.
April 26, 2024
SEC Probing Firms Hit by Massive MOVEit CyberattackThe agency has dispatched dozens of sweep letters to companies affected by the hack, which affected 2,770 organizations.
April 24, 2024
9 Traps to Avoid With Planning Tools: CFP BoardAdvisors must know how their processes really work and how to fully protect their clients' private information.
April 08, 2024
FINRA Hits BD With $500k Fine Over TextingIt also suspended the firm's CEO for not preserving and checking 10,900 text messages sent or received by 27 associated persons.