RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
12 States Where Clients Are Most at Risk of Identity Theft
By Michael S. FischerTax-related identity theft reports have soared 45% since before the pandemic, according to a financial services provider and FTC data.
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.
January 11, 2022
6 Steps to Winning at InnovationWith a dizzying array of technology options, advisory firms can benefit from following these steps in selection and implementation.
December 22, 2021
Bitcoin Fails to Make SEC Chief's To-Do List: 2022 OutlookSEC approval of a spot Bitcoin ETF remains in limbo as Republican commissioners balk at the omission of crypto from Gensler's agenda.
December 22, 2021
Electronic Signatures May Get Help From the D.C. GorillasThe shift away from paper signatures is part of Social Security streamlining efforts.