RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Phishing Scams on the Rise: FINRA
By Melanie WaddellThere are some key ways to spot these scams to protect both clients' identities and their assets, the regulatory group points out.
February 10, 2023
SEC, FINRA Priorities: 7 Steps to Stay CompliantThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.
February 09, 2023
Alan Moore to Step Down as AdvicePay CEOThe company's co-founder will shift to executive chairman of the board.
February 02, 2023
NYSE Glitch Caught Up in Fight Over SEC Rewrite of Trading RulesSchwab and Robinhood say the incident was a reason for concern and an argument against exchange-run auctions.
January 31, 2023
Investors Burned in NYSE Trading Chaos Demand CompensationOnce the NYSE determines how much it has to cover the claims, the amount will be divided proportionally, according to sources with knowledge of the matter.
January 26, 2023
Schwab Criticizes NYSE Over System Failure That Roiled TradingStocks for hundreds of companies were affected, and trades were canceled after the wild market swings early Tuesday.
January 26, 2023
NYSE Mayhem Traced to Staffer 700 Miles AwayBehind closed doors, NYSE executives are grappling with both the potential cost and the impact on the exchange's reputation.
January 26, 2023
Morgan Stanley Fines Some Staff $1M Over Messaging BreachesIndividual penalties are based on factors like seniority, the number of messages sent and any prior warnings.