RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Meet the LUMINARIES Class of 2022 Finalists
By Janet LevauxNow in its second year, the recognition program spotlights firms and individuals who excel in four categories.
May 03, 2022
4 Ways SEC's New Proposed Rules Put Cybersecurity Front and CenterDespite pushback, advisors and funds will need to update and document their risk management practices.
April 20, 2022
'The Stars Aligned': Orion-Redtail Deal Was Years in the Making"I used to lose sleep over the thought of this transaction going in a different direction," the CEO says.
April 15, 2022
'Staggering' Crypto Seizures Have Cops Struggling to Keep UpCryptocurrencies made up 93% of assets confiscated by the Criminal Investigation Division of the IRS in the last fiscal year.
March 25, 2022
12 States Where Clients Are Most at Risk of Identity TheftTax-related identity theft reports have soared 45% since before the pandemic, according to a financial services provider and FTC data.
March 03, 2022
Cybersecurity 'Keeps Me Up at Night': SEC's CrenshawComplex products are another major concern, the commissioner said at an Investment Adviser Association conference.
February 09, 2022
SEC Outlines Cyber Rules, New Form for AdvisorsThe SEC is proposing new rules that would require advisors to adopt written policies and procedures to address cybersecurity risks.
January 28, 2022
Why a Privacy Checkup Can Keep You Out of TroubleHere's how to comply with Regulation S-P, which requires that advisors issue privacy notices and protect clients' personal information.