RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Trump Administration Plans to Boost Tax Break for Corporations
By Caitlin ReillyThe move aims to weaken the 15% minimum tax, which former President Joe Biden signed into law in 2022.
October 09, 2025
FINRA Hits Ally Invest Securities With $850K Fine Over EmailsCoding errors and other technical failures in three systems caused the communications to be lost.
October 06, 2025
Synovus Securities to Pay $315,000 Over E-SignaturesThe BD failed to detect red flags that four associated persons forged and falsified hundreds of signatures, FINRA says.
September 30, 2025
SEC Orders Operating Cost Cuts to CATThe costs of running the order-tracking system "have ballooned beyond belief," says Paul Atkins, the agency chair.
September 18, 2025
SEC Policy Shift Calls for Advisor ActionFirms should not interpret the current pause in rulemaking and the shift away from enforcement as a reprieve.
September 05, 2025
Who Actually Needs to Register as a Broker-Dealer? — SEC RoundupAndreessen Horowitz and the DeFi Education Fund are proposing a "safe harbor" for fintech apps.
September 05, 2025
SEC Wiped Ex-Chair Gensler's Text MessagesThe agency's inspector general is recommending actions to strengthen the management of mobile devices and federal records.
August 30, 2025
Docupace Unveils AI Roadmap for Wealth ManagementFirms that embrace intelligent automation will lead the next decade’s competition, according to the software provider.