RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
FINRA Forum Shows Promises and Pitfalls of New Technologies
By Bernice NapachHow experts from the securities industry and its regulators view AI, blockchain and other new technologies
December 21, 2018
FINRA Issues Report on Best Cybersecurity PracticesThe group highlights five areas of focus, such as how to limit phishing attacks and how to implement controls on mobile devices.
November 28, 2018
Just Do It: A 2018 Year-End Action List for AdvisorsGetting ready for the holidays is the easy part of advisors' year-end duties. For the tough tasks, here's a "must-do" checklist to help advisors tackle business processes and client needs in late 2018.
November 28, 2018
SEC, DOL Share Details on Plans for Advice StandardsBoth regulators are expected to finalize rules for conduct standards by September 2019.
November 28, 2018
What's Inside the SEC's Best Execution Risk AlertAdvisors often don't realize that best execution requirements have many facets, all of which are worth a careful review.
October 26, 2018
Wall Street Giants Fight Over Who Helps Small Investors MostFirst discussion from SEC roundtable brings fireworks from both sides.
October 25, 2018
How to Break Up With Your Technology VendorIf you are frustrated with your technology provider, here's how to work out the separation agreement.
October 19, 2018
2 Common Email Spoofing Scams to Avoid: SECThe SEC made an example of nine firms that lost a total of $100 million to email fraudsters.