RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
4 Ways SEC's New Proposed Rules Put Cybersecurity Front and Center
By Thomas D. GiachettiDespite pushback, advisors and funds will need to update and document their risk management practices.
March 25, 2022
12 States Where Clients Are Most at Risk of Identity TheftTax-related identity theft reports have soared 45% since before the pandemic, according to a financial services provider and FTC data.
March 03, 2022
Cybersecurity 'Keeps Me Up at Night': SEC's CrenshawComplex products are another major concern, the commissioner said at an Investment Adviser Association conference.
February 09, 2022
SEC Outlines Cyber Rules, New Form for AdvisorsThe SEC is proposing new rules that would require advisors to adopt written policies and procedures to address cybersecurity risks.
January 28, 2022
Why a Privacy Checkup Can Keep You Out of TroubleHere's how to comply with Regulation S-P, which requires that advisors issue privacy notices and protect clients' personal information.
January 24, 2022
Fidelity Launches RegTech BusinessSaifr, developed in Fidelity Labs, uses AI to help financial institutions create compliant public communications.
January 24, 2022
SEC Chief Wants Advisors, BDs to Improve 'Cyber Hygiene'One possible course of action: altering the "timing and substance" of required customer notifications under Reg S-P.
January 14, 2022
Wealth Managers: Let Personalization be Your GuideAbout a quarter of consumers surveyed by Broadridge say they've dropped firms due to lack of personalized service.