RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Chase Bank Customers Report Account Glitches, Again
By Dinah Wisenberg BrinChase customers reported account issues, including trouble with debit card transactions.
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.
July 20, 2023
MOVEit Data Breach Hits 30 Colleges via TIAA, Other VendorsThe Teachers Insurance and Annuity Association of America's vendor, PBI Research, used the software and experienced a "cybersecurity incident."
July 06, 2023
Ransomware Gang Has 6M Life and Annuity Client RecordsKnown victims include Genworth, F&G and the department that oversees Medicare.