RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Citi Copy-Paste Error Almost Sent $6B to Wealth Account
By Todd GillespieThe error occurred in the same month that the bank accidentally credited $81 trillion to a different client.
February 20, 2025
SEC Launches New Cyber Unit to Combat FraudThe Cyber and Emerging Technologies Unit replaces the Crypto Assets and Cyber Unit.
February 11, 2025
Wealth.com Adds Private Wealth HeadIn the new role, Kathy Wunderli will focus on estate planning, probate, trust administration and tax matters.
February 11, 2025
SEC X Account Hack Over Bitcoin ETF Post Leads to Guilty PleaThe hack involved a fake social media post announcing the authorization of the first-ever spot Bitcoin ETFs.
January 31, 2025
7 Do’s and Don’ts When Changing Firms or Breaking AwayBrandy Weiberg of Wealthcare Capital has supported more than 100 advisors as they have transitioned their businesses.
January 28, 2025
Sycamore Rolls Out New Surveillance PlatformAdvisory firms can use the technology to detect, monitor and review activities like transaction and commission data.
January 28, 2025
FINRA Issues New Warning on Reg BI, Form CRS ComplianceThe just-released 2025 FINRA Annual Regulatory Oversight report covers areas the regulator will be watching this year.
January 23, 2025
Wealth.com Nabs Nitrogen Exec for Key RoleDan Bolton will serve as head of marketing for the estate planning platform.