RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
LPL Nears $50M SEC Settlement Over Messaging App Use
By Janet LevauxThe IBD will join more than a dozen other firms that have paid fines over off-channel communications.
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.
February 06, 2024
New Bill Would Block SEC Predictive Data Analytics RuleThe Protecting Innovation in Investment Act would prevent SEC from finalizing, implementing or enforcing the controversial rule.
January 17, 2024
Merrill Team Forms RIA to Serve 'Family Next Door'The $420 million group is "a great fit for the independent wealth arena," Dynasty head Shirl Penney says.
January 09, 2024
Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC RoundupFacebook's former chief security officer explains why the rule may result in premature or inadvertently inaccurate disclosures.