RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
GameStop Shares Soar as Keith Gill Schedules YouTube Return
By Bailey Lipschultz & Carmen ReinickeThe stock's price surged as much as 41% to $44.41 as of 1:45 p.m. in New York, triggering a volatility halt.
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.