RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
DOL's Fiduciary Rule Still Could Come Back to Life
By Thomas D. GiachettiThe Fifth Circuit decision sounds like a resounding victory for the rule's opponents, but some uncertainty remains.
May 16, 2018
280 CapMarkets' Bond Buying Platform Pulls Advisors Across 'Last Mile'Startup finds success among advisors with its bond trading platform while helping advisors meet MSRB requirements.
May 02, 2018
SEC Denies Fee Increase Requests by Stock ExchangesThe unprecedented move was in response to requests by the NYSE, Nasdaq and Cboe Global Markets to raise data fees.
April 29, 2018
What Tech Checks to Make to Prep for Reg Exams2018 FINRA and SEC exam priorities can serve as a refresher for your technology practices.
April 24, 2018
Former CFTC Chief Warns Major Cryptocurrencies May Be SecuritiesGary Gensler says some of the biggest cryptocurrencies could probably be classified as securities subject to regulation.
April 04, 2018
What Is Regtech, Anyway?SEC Commissioner Piwowar calls the term 'ill-defined,' while Aite says the term has drawn increasing interest in the last two years.
March 22, 2018
Orion's New 'Compass' Automates RIA ComplianceProactive tools include mock audits, SEC exam data retrieval; anti-money laundering screens.
December 28, 2017
5 Trends to Watch in Fintech, Wealthtech and Regtech in 2018What innovations and emerging competitors will we witness in the coming year?