RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Banks Brace for Era of Consumer Data Sharing
By Paige Smith & Katanga JohnsonThe CFPB says bank clients will be able to demand, download and transfer their highly-coveted data to other financial firms for free. The final rule should cover checking accounts, credit cards and digital wallets, but not mortgages, student loans or car loans.
August 26, 2024
New RIA Succession Planning Platform Targets DFA FansThe firm's founders include two Dimensional veterans and the former president of its first partner firm.
August 15, 2024
eMoney Expands Open API ProgramWealth firms can use the software for syncing and enriching client data, as well as for custom reporting.
August 12, 2024
Raymond James Nears $50M SEC Settlement Over Texting IssuesThe broker-dealer is one of several firms caught up in the SEC's off-channel communications sweep.
August 04, 2024
4 Ways to Help Clients With Digital AssetsClients are increasingly looking to financial advisors to safeguard these assets and add them to estate plans.
July 24, 2024
741 BDs Opt In to FINRA Home Office InspectionsOpt-ins are highest among large firm and represent 22% of the industry, FINRA says.
July 23, 2024
Genstar Capital Acquires Majority Stake in DocupaceFTV Capita, which invested in the back-office software maker in 2020, will remain a minority investor.
July 19, 2024
Smarsh Integrates ChatGPT With Its Compliance PlatformThe integration allows financial services firms to use ChatGPT Enterprise compliantly, the tech firm says.