RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
RIA in a Box Launches Cybersecurity Insurance for Advisors: Tech Roundup
By Jeff BermanAlso, SEC's FinHub launches virtual peer-to-peer meetups.
March 25, 2020
Envestnet, CSS Launch Reg BI Tool for RIAs and BDsThe software pulls data from a firm's SEC and FINRA filings to complete Form CRS.
January 08, 2020
How Advisors Can Comply With FINRA's Stricter Fixed Income GovernanceEnsuring best execution is no longer as simple as making a few phone calls.
December 09, 2019
How Tech Could End Conflicted Financial AdviceThe RIA founder tells ThinkAdvisor how regulators could address conflicts of interest and what he thinks the industry will look like in 10 years.
November 25, 2019
Big Tech Flexes New Products at T3Advisors will find new goodies on their platforms as IBDs and national RIAs look to expand their offerings.
October 29, 2019
Why Client Feedback Is Key for Hitting Tech GoalsDon't assume you know how clients use, or even like, your technology. Instead, ask them and adapt.
September 26, 2019
AI, Machine Learning Offer Opportunities for Advisors, but Obstacles RemainAdvisors and other financial organizations face implementation, regulatory and other challenges when using AI, experts say at SIFMA Fintech Conference.
September 24, 2019
Advisors, Tech in Focus at New ConferenceWealth/Stack event highlighted forward-thinking ideas and industry VIPs.