RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Riskalyze, InvestorCOM Deal Gives Advisors Help With Rollover Compliance: Tech Roundup
By Jeff BermanBento Engine has generated over 7,000 advice alerts enabling advisors to educate clients, prospects about financial life advice.
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.
September 01, 2022
Goldman Closes on NextCapital Purchase: Tech RoundupAlso, Goldman Sachs finalizes its purchase of robo-advisor NextCapital Group.