RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Morgan Stanley to Pay $35M SEC Fine Over Data Security
By Tom SchoenbergAbout 15 million clients' details were compromised over a five-year period starting in 2015.
September 01, 2022
Commonwealth Recruits New Chief Privacy Officer From LPLMichelle Kelley has also been named deputy general counsel and senior vice president.
August 25, 2022
LUMINARIES 2022 Finalists: Thought Leadership — FirmsThese 40 industry players have demonstrated excellence through innovative insights, practices and research.
August 16, 2022
Wall Street's $2B WhatsApp Fines Are Years in the MakingThe regulators have taken the view that any use of personal devices for business communications is problematic.
August 16, 2022
SEC Charges 18 in Scheme Tied to Hacked Brokerage AccountsOver 31 online retail brokerage accounts were hacked and improperly used to buy certain stocks and manipulate prices, trading volume.
August 15, 2022
RegTech: Why It's a Must-Have to Manage Compliance MandatesJoin this complimentary webcast to discover how to leverage RegTech to create a more efficient and accurate process.
August 10, 2022
Web-Based Life, Health and Annuity Distributor Raises $15MModern Life plans to go beyond plain term life vanilla.
August 03, 2022
New Requirements Are Coming. 'Compliant by Design' Is the AnswerGetting compliance right requires its functions to be fully embedded in business workflow and provided seamlessly.