RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Who Actually Needs to Register as a Broker-Dealer? — SEC Roundup
By Nicolas Morgan and Tom ZaccaroAndreessen Horowitz and the DeFi Education Fund are proposing a "safe harbor" for fintech apps.
August 29, 2025
Top Annuity Seller Wins Cybersquatting CaseThe other organization using a similar trademarked name runs a mobile crypto mining app.
August 27, 2025
Interactive Brokers to Join S&P 500, Replacing WalgreensThe changes will take place prior to the opening of trading on Thursday, according to S&P Dow Jones Indices.
August 25, 2025
Industry Veteran Hassan Tapped as DriveWealth CEOHassan, who left UBS last year, worked earlier for the Federal Reserve Bank of New York, Morgan Stanley and Charles Schwab.
August 20, 2025
TaxStatus Taps New Board MembersEric Clarke and Ric Edelman will help the tax data provider with the launch of its new lead generation program for advisors.
August 19, 2025
4 Issues Hurting Mobile Comms ComplianceJust 25% of firms capture all mobile messages, while the majority rely on workarounds — bleeding budgets and missing risks.
August 12, 2025
Orion Opens New Office in UtahThe space is "modern, welcoming and designed with collaboration and wellness at its core," said CEO Natalie Wolfsen.
July 30, 2025
Cracks in the CAT: Court Rules Against SEC’s Massive Surveillance Tool — SEC RoundupThe SEC’s Consolidated Audit Trail just got a major reality check from the 11th Circuit Court of Appeals.