RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Chalice Launches Reg BI Compliance Services
By Janet LevauxThe membership-based group says it is responding to advisors' requests for compliance and legal support.
May 28, 2019
Importance of Being Up to Date With TechTop tech gurus discuss what advisors need to do infrastructure-wise to stay ahead.
April 26, 2019
Libor's Looming Demise Is Huge, Risky TaskIt's a matter of when, not if, rate becomes 'unusable," says Morgan Stanley's Tom Wipf.
March 26, 2019
Reg BI Readiness Questioned on All Fronts: SEC Commissioners, Trade Groups, LegislatorsAs new BD regulations get aired out, two points emerge: Reg BI is "fixable" and states need to see how it works before making own laws.
March 22, 2019
95% of Spot Bitcoin Trading Volume Is Fake: ReportBitwise Asset Management, which has filed for a Bitcoin ETF, analyzed data from 81 crypto exchanges.
February 28, 2019
Downside of Technology for Advisors: Increased CybercrimeA GlobalData study looks at how cybercrime has grown as a result of the digitization of the business, and how advisors are responding.
February 26, 2019
Ensemble or Solo Practice? How it Impacts Technology SolutionsHow your firm is structured certainly impacts what technology solutions are selected and rolled out.
February 26, 2019
Regulators Take Aim at Share Class DisclosureAttorneys and compliance experts see the SEC and FINRA crackdowns as a 'big deal' that foretells the demise of 12b-1 fees.