RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
CEO Exits, Layoffs Signal Private Equity's Growing Impact on Wealth Management
By Ryan W. NealSeveral big changes in leadership highlight how PE firms are making their presence felt beyond investment dollars.
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.
October 02, 2023
Chase Bank Customers Report Account Glitches, AgainChase customers reported account issues, including trouble with debit card transactions.
September 28, 2023
SEC Finalizing 19 New Settlements in Wall Street WhatsApp Probe: ReutersThe settlements are with investment advisors and broker dealers, according to the report, with details expected by Sept. 30.
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.