RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Pershing, Orion Deepen Integrations: Tech Roundup
By Jeff BermanAlso, CircleBlack added a former Envestnet executive, and Smarsh launched applications for Zoom.
October 16, 2020
How New Tech Can Really Help Advisors: CerulliMore tech adoption can provide greater efficiency and improve productivity, Cerulli says.
July 21, 2020
COVID-19 Planning Is Top RIA Compliance ConcernBusiness continuity planning related to COVID-19 has replaced cybersecurity as the top worry for compliance officers.
July 16, 2020
Robinhood Under Scrutiny by CongressSeveral lawmakers aren't satisfied with the platform's response to a customer's suicide.
June 30, 2020
Reg BI Is Here. Is Your Tech Ready?Now is a good time for BDs to reevaluate their legacy technology systems.
June 16, 2020
RIA in a Box Launches Cybersecurity Insurance for Advisors: Tech RoundupAlso, SEC's FinHub launches virtual peer-to-peer meetups.
June 10, 2020
How Investors Can Evaluate Muni Bonds in the COVID-19 EconomyInvestors and their advisors need to be extremely thorough in the current environment. Technology can help.
May 27, 2020
Regulatory Groups Gear Up Remote Exam RequirementsFINRA reduces mediation fees and enhances action against new wave of scams.