RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
March 07, 2024
Must-Do Steps to Prepare for AI ComplianceWhile we're in the first stages of regulation, it's not too early to plan approaches to the technology.
February 23, 2024
LPL Facing SEC Fine as High as $50M Over Texts, App UseTwo weeks ago, 16 other firms agreed to pay more than $81 million for similar issues.
February 21, 2024
Aaron Klein to Join Ezra GroupThe former head of Nitrogen, earlier known as Riskalyze, will be executive-in-residence for the consulting group.
February 21, 2024
FINRA Fines BD $75K for Email ViolationsIn one incident, a Ceros employee sent hundreds of clients' account data to their personal email, FINRA says.
February 06, 2024
New Bill Would Block SEC Predictive Data Analytics RuleThe Protecting Innovation in Investment Act would prevent SEC from finalizing, implementing or enforcing the controversial rule.
January 17, 2024
Merrill Team Forms RIA to Serve 'Family Next Door'The $420 million group is "a great fit for the independent wealth arena," Dynasty head Shirl Penney says.
January 09, 2024
Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC RoundupFacebook's former chief security officer explains why the rule may result in premature or inadvertently inaccurate disclosures.
December 18, 2023
Complying With SEC Cyber Rules Remains 'Super Difficult'Rules now require public firms to report cyber issues within four business days of finding them "material" to shareholders.
December 15, 2023
CEO Exits, Layoffs Signal Private Equity's Growing Impact on Wealth ManagementSeveral big changes in leadership highlight how PE firms are making their presence felt beyond investment dollars.
November 29, 2023
FINRA Fines Ex-Morgan Stanley Employee for Using Cell Phone During Series 7 ExamThe employee used his phone despite telling the proctor it was in another room, according to FINRA.