RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Orion Buys Compliance and Risk Management Firm
By Jeff BermanThe acquisition, which closed on Friday, 'complements' what Orion has been doing in the compliance space, T3 head Joel Bruckenstein says.
October 01, 2021
Riskalyze Unveils Platform Enhancements, Docupace Announces Deal at Fearless SummitLatest additions to the Riskalyze platform include Discovery, a feature using a quantitative engine to find the best securities for each client.
September 29, 2021
Lori Hardwick Named Vestwell ChairHardwick, CEO of RedRock Strategic Partners, also sits on the boards of Cetera, Genstar and Orion.
September 20, 2021
Industry Experts to Share Tips on Boosting Your BusinessOur webcast, set for Thursday, will highlight how advisors can lower costs, improve efficiency and meet investors' rising expectations.
September 16, 2021
RIA in a Box Launches Virtual Desktop, Compliance Dashboard for RIAs: Tech RoundupAlso, Wells Fargo turns to Google and Microsoft for its new digital infrastructure strategy.
September 10, 2021
SEC's New Ad Rule Is Advisors' Top Compliance Challenge: PollFirms also want the SEC to conduct investor testing on Form CRS and rewrite the Custody Rule, an IAA poll finds.
September 09, 2021
Riskalyze Expands Connected Trading: Tech RoundupAlso, Broadridge Fi360 Solutions introduces enhanced Decision Optimizer software for financial advisors.
August 26, 2021
Insurers Scramble to Meet No Surprises Act RequirementsNearly 75% of survey respondents are concerned about meeting the law's Advanced Explanation of Benefits mandates, Zelis found.