RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
5 Big Shifts That Will Reshape Wealth Planning in 2022 and Beyond: Northern Trust
By Michael S. FischerThe pandemic's impact will be felt long after it's declared over. Here's what advisors can expect.
December 07, 2021
FINRA Fines Wells Fargo $2.25MWells Fargo Advisors Financial Network and Wells Fargo Clearing Services failed to store about 13 million client records in the "WORM" format.
November 23, 2021
Are Custodians Tilting at Windmills?Putting "unified and integrated" all in one advisory tech system is a dream of every custodian. But history hasn't been kind.
October 27, 2021
Why the SEC Has Its Eyes on AdvisorsIt's smart to go beyond a written program and implement multi-factor authentication.
October 27, 2021
Meet the Winners: LUMINARIES in Executive Leadership, 2021 — FirmsHere are the firms being honored for driving the financial industry forward in executive leadership.
October 22, 2021
Orion Buys Compliance and Risk Management FirmThe acquisition, which closed on Friday, 'complements' what Orion has been doing in the compliance space, T3 head Joel Bruckenstein says.
October 15, 2021
4 Tech Trends Transforming 401(k)sEvery aspect of the retirement industry is changing, and technology is at the core of it all, a Vestwell survey found.
October 12, 2021
How to Take Networking, Problem Solving to the Next LevelF2 Strategy's Doug Fritz explains what makes today's advice-focused businesses tick and how data can be an advisor's friend.