RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
SEC Launches FinHub Portal
By Ginger SzalaThe new fintech hub provides one-stop information on digital marketplaces, automated investment, blockchain and AI.
September 10, 2018
4 Regtech Challenges for BDs to Watch For: FINRAA new buzzword — suptech, or supervisory technology — is also coming into play.
August 28, 2018
How Do You Shop for New Technology?Industry conferences are a great place to scope out technology demos as well as get updates on your current system.
August 14, 2018
SEC Charges Perpetrator of ICO Offering With FraudThe agency also issued a Investor Alert to encourage investors to check the background of anyone selling them an investment.
August 09, 2018
Cryptocurrency Crash Hits a New LowDigital assets have lost about $600 billion since January peak; SEC's postponed decision on Bitcoin-backed ETF inspired the latest downturn.
July 30, 2018
What's in Your Technology Report Card?Advisors are in the business of measurement, so they also should ask users to grade how well firm technology systems perform.
June 25, 2018
Ex-Treasury Official Touts the Promise of Fintech 'Sandboxes'U.S. regulators "have increased engagement with financial innovators in recent years, and it's a good time to consider taking the next step," Jonah Crane says.
May 29, 2018
2018 Broker-Dealer Presidents PollFrom compliance issues to mobile apps, broker-dealers executives have a lot on their hands. Here's how they feel about these challenges