RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Wall Street Moves to Fastest Settlement of Trades in a Century
By Greg RitchieIt's not the first time Wall Street has undergone such a change, but it could be the most challenging.
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.
April 08, 2024
FINRA Hits BD With $500k Fine Over TextingIt also suspended the firm's CEO for not preserving and checking 10,900 text messages sent or received by 27 associated persons.
March 07, 2024
Must-Do Steps to Prepare for AI ComplianceWhile we're in the first stages of regulation, it's not too early to plan approaches to the technology.
February 23, 2024
LPL Facing SEC Fine as High as $50M Over Texts, App UseTwo weeks ago, 16 other firms agreed to pay more than $81 million for similar issues.
February 21, 2024
Aaron Klein to Join Ezra GroupThe former head of Nitrogen, earlier known as Riskalyze, will be executive-in-residence for the consulting group.
February 21, 2024
FINRA Fines BD $75K for Email ViolationsIn one incident, a Ceros employee sent hundreds of clients' account data to their personal email, FINRA says.