RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Schwab Launching Its First Crypto-Related ETF
By Dinah Wisenberg BrinThe ETF aims to offer exposure to companies that can benefit from crypto-related business activities.
July 27, 2022
When Will We Finally Get a Spot Bitcoin ETF?SEC Commissioner Caroline Crenshaw told me where she still has major questions and concerns about the crypto market.
July 26, 2022
UBS Says It's Part of Probe Into Unapproved Staff MessagingRegulators are set to levy $1 billion in fines on the biggest banks for failing to monitor employees' use of unauthorized messaging apps.
July 15, 2022
Wall Street Texting Habit Sticks Banks With Rare $1B BillRegulators have zoomed in on Bank of America, Citigroup, Goldman Sachs, JPMorgan and Morgan Stanley over record-keeping lapses.
July 01, 2022
SEC Marketing Rule Is Hottest Compliance Topic for Second Year: SurveyCybersecurity and ESG also grind compliance pros' gears, according to an annual IAA compliance survey.
June 28, 2022
Ritholtz-Affiliated VC Fund Invests in RIA Software PlatformThe Compound Capital Fund I has taken an unspecified stake in SmartRIA, a compliance software platform.
June 22, 2022
Meet the LUMINARIES Class of 2022 FinalistsNow in its second year, the recognition program spotlights firms and individuals who excel in four categories.
June 09, 2022
Riskalyze Increases API Offerings: Tech RoundupAlso, Franklin Templeton teams with iCapital on alternative investing.