RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
5 Keys to a Texting Policy That Will Stand Up to SEC Scrutiny
By Thomas D. GiachettiThe SEC is aggressively looking into texting by financial professionals. Does your firm have appropriate policies and procedures?
November 01, 2022
Financial Firms Spent $1B on Ransomware Payments in 2021The Treasury Department says some 1,489 incidents were reported last year vs. 487 in 2020.
October 26, 2022
New SEC Plan Says RIAs Must Vet Third-Party ServicesThe SEC doesn't recognize "how little leverage firms have over many service providers," says IAA's Karen Barr.
October 24, 2022
FINRA Developing Machine-Readable RulebookFINRA is seeking comment on the rulebook initiative, which offers quick access to 40 commonly searched rules.
October 12, 2022
BNY Mellon Debuts Crypto Custody Platform for Bitcoin and EtherThe move comes after the SEC said public companies holding crypto assets must treat them as liabilities on their balance sheets.
October 06, 2022
Pershing X Teams With Startup to Boost Financial Planning Efficiency: Tech RoundupAlso, Dynasty has teamed with digital platform Allocate to give RIAs access to venture capital investments.
September 20, 2022
Morgan Stanley to Pay $35M SEC Fine Over Data SecurityAbout 15 million clients' details were compromised over a five-year period starting in 2015.
September 15, 2022
UBS Backs Ethic Asset Management Platform: Tech RoundupAlso, Hearsay Systems is adding new functionality to help advisors comply with the SEC's new Marketing Rule.