RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
LPL Picks SmartAsset for Vendor Affinity Program: Tech Roundup
By Jeff BermanAlso, Morgan Stanley teams with Microsoft, while RIA in a Box announces a new automated RIA communications archiving and review solution.
April 26, 2021
FINRA Provides Advice for BDs to Fight FraudFINRA warned early this month that the regulator's exams this year would focus on BD filings of SARs.
April 08, 2021
Envestnet Acquires Harvest Savings & Wealth: Tech RoundupAlso, fintech firm fabe launches a SaaS application to help advisors value their firms for a sale.
April 07, 2021
AdvicePay Adds Financial Plan Compliance ToolThe new tool centralizes compliance reviews of financial plan deliverables to streamline the process, AdvicePay says.
March 25, 2021
Pershing, Orion Deepen Integrations: Tech RoundupAlso, CircleBlack added a former Envestnet executive, and Smarsh launched applications for Zoom.
February 04, 2021
LifeYield, Allianz Life Team Up on Retirement Solution for Advisors: Tech RoundupAlso, Broadridge introduces ESG Advisory Services.
November 10, 2020
Smarsh Buys AI Firm to Help RIAs, BDs Spot RisksThe combined company will also help advisors and their firms uncover strategic insights from large volumes of data in real time.
October 16, 2020
How New Tech Can Really Help Advisors: CerulliMore tech adoption can provide greater efficiency and improve productivity, Cerulli says.