RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
FINRA Fines BD $75K for Email Violations
By Melanie WaddellIn one incident, a Ceros employee sent hundreds of clients' account data to their personal email, FINRA 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.
December 18, 2023
Complying With SEC Cyber Rules Remains 'Super Difficult'Rules now require public firms to report cyber issues within four business days of finding them "material" to shareholders.
December 15, 2023
CEO Exits, Layoffs Signal Private Equity's Growing Impact on Wealth ManagementSeveral big changes in leadership highlight how PE firms are making their presence felt beyond investment dollars.
November 29, 2023
FINRA Fines Ex-Morgan Stanley Employee for Using Cell Phone During Series 7 ExamThe employee used his phone despite telling the proctor it was in another room, according to FINRA.
November 03, 2023
IRS Indefinitely Extends E-Signature AuthorizationThe acceptance of digital signatures on key documents continues "until more robust technical solutions are deployed."
November 02, 2023
CAIS, Nitrogen Events Highlight Growth StrategiesA new alternatives platform, generative AI and client testimonials were among the themes discussed by industry VIPs.
October 17, 2023
How an IRS Contractor Leaked Tax Data on Trump, Bezos and MuskCharles Littlejohn stole tax information on thousands of wealthy Americans and leaked it to several media outlets.