RegTech

Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.

Must-Do Steps to Prepare for AI Compliance

March 07, 2024

Must-Do Steps to Prepare for AI Compliance
LPL Facing SEC Fine as High as $50M Over Texts, App Use

February 23, 2024

LPL Facing SEC Fine as High as $50M Over Texts, App Use
Aaron Klein to Join Ezra Group

February 21, 2024

Aaron Klein to Join Ezra Group
FINRA Fines BD $75K for Email Violations

February 21, 2024

FINRA Fines BD $75K for Email Violations
New Bill Would Block SEC Predictive Data Analytics Rule

February 06, 2024

New Bill Would Block SEC Predictive Data Analytics Rule
Merrill Team Forms RIA to Serve 'Family Next Door'

January 17, 2024

Merrill Team Forms RIA to Serve 'Family Next Door'
Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC Roundup

January 09, 2024

Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC Roundup
Complying With SEC Cyber Rules Remains 'Super Difficult'

December 18, 2023

Complying With SEC Cyber Rules Remains 'Super Difficult'
CEO Exits, Layoffs Signal Private Equity's Growing Impact on Wealth Management

December 15, 2023

CEO Exits, Layoffs Signal Private Equity's Growing Impact on Wealth Management
FINRA Fines Ex-Morgan Stanley Employee for Using Cell Phone During Series 7 Exam

November 29, 2023

FINRA Fines Ex-Morgan Stanley Employee for Using Cell Phone During Series 7 Exam