RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Commonwealth Recruits New Chief Privacy Officer From LPL
By Jeff BermanMichelle Kelley has also been named deputy general counsel and senior vice president.
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 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.
August 01, 2022
Schwab Launching Its First Crypto-Related ETFThe ETF aims to offer exposure to companies that can benefit from crypto-related business activities.
July 28, 2022
How to Help Nervous Clients NowInvestors don't want wishy-washy conversations about the markets; they want to stress test their portfolios.
July 27, 2022
SEC Hits JPMorgan, UBS, TradeStation for Identity Theft ViolationsThe three firms had deficiencies in programs to prevent customer identity theft, violating the SEC's Identity Theft Red Flags Rule, or Regulation S-ID.
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.