RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
FINRA Provides Advice for BDs to Fight Fraud
By Jeff BermanFINRA warned early this month that the regulator's exams this year would focus on BD filings of SARs.
March 25, 2021
Pershing, Orion Deepen Integrations: Tech RoundupAlso, CircleBlack added a former Envestnet executive, and Smarsh launched applications for Zoom.
February 04, 2021
LifeYield, Allianz Life Team Up on Retirement Solution for Advisors: Tech RoundupAlso, Broadridge introduces ESG Advisory Services.
November 10, 2020
Smarsh Buys AI Firm to Help RIAs, BDs Spot RisksThe combined company will also help advisors and their firms uncover strategic insights from large volumes of data in real time.
October 16, 2020
How New Tech Can Really Help Advisors: CerulliMore tech adoption can provide greater efficiency and improve productivity, Cerulli says.
July 21, 2020
COVID-19 Planning Is Top RIA Compliance ConcernBusiness continuity planning related to COVID-19 has replaced cybersecurity as the top worry for compliance officers.
July 16, 2020
Robinhood Under Scrutiny by CongressSeveral lawmakers aren't satisfied with the platform's response to a customer's suicide.
June 30, 2020
Reg BI Is Here. Is Your Tech Ready?Now is a good time for BDs to reevaluate their legacy technology systems.