RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
New RIA Succession Planning Platform Targets DFA Fans
By Dinah Wisenberg BrinThe firm's founders include two Dimensional veterans and the former president of its first partner firm.
August 04, 2024
4 Ways to Help Clients With Digital AssetsClients are increasingly looking to financial advisors to safeguard these assets and add them to estate plans.
July 24, 2024
741 BDs Opt In to FINRA Home Office InspectionsOpt-ins are highest among large firm and represent 22% of the industry, FINRA says.
July 23, 2024
Genstar Capital Acquires Majority Stake in DocupaceFTV Capita, which invested in the back-office software maker in 2020, will remain a minority investor.
July 19, 2024
Smarsh Integrates ChatGPT With Its Compliance PlatformThe integration allows financial services firms to use ChatGPT Enterprise compliantly, the tech firm says.
June 17, 2024
Luminaries FAQ: How to Participate in ThinkAdvisor's 2024 Awards ProgramNominations for individuals and firms are due July 24. Here's how to do submit them in 10 categories this year.
June 13, 2024
Wells Fargo Fires Over a Dozen for 'Simulation of Keyboard Activity'The staffers, all in the firm's Wealth and Investment Management unit, were discharged after faking work.
June 13, 2024
FINRA Slaps Rep for Texts, LinkedIn MessagesThe rep exchanged more than 1,000 business communication outside allowed channels, FINRA says.