RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
SEC Finalizing 19 New Settlements in Wall Street WhatsApp Probe: Reuters
By Adam HaighThe settlements are with investment advisors and broker dealers, according to the report, with details expected by Sept. 30.
September 12, 2023
LUMINARIES 2023 Finalists: Financial & Investment Innovation — Firms, Group 2These firms have created unique products, services and processes that meet advisors' and investors' latest needs.
August 31, 2023
Genworth Sued Over Personal Data Exposed in MOVEit HackThe breach may have exposed personal information, including Social Security numbers, of about 2.5 million Genworth clients.
August 28, 2023
Chase Trading Glitches Reported, Firm Says Problem ResolvedClients reported they couldn't complete trades, with one complaining he was out thousands of dollars.
August 16, 2023
FINRA Says Video Conferences Now a Permanent Hearing OptionVideo conference hearings will be allowed for disciplinary and enforcement hearings under certain conditions.
August 08, 2023
Wells Fargo to Pay $125M in WhatsApp CrackdownIn total, 11 firms agreed to pay penalties of $289 million to the Securities and Exchange Commission.
July 31, 2023
BDs' Anti-Money Laundering Policies Fall Short: SECSome broker-dealers "did not appear to devote sufficient resources, including staffing, to AML compliance," the regulator said.
July 31, 2023
Why the Life Insurance Industry Must ChangeTaking three months to get a policy is so 1993.