RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Synovus Securities to Pay $315,000 Over E-Signatures
By Melanie WaddellThe BD failed to detect red flags that four associated persons forged and falsified hundreds of signatures, FINRA says.
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.
August 29, 2025
Top Annuity Seller Wins Cybersquatting CaseThe other organization using a similar trademarked name runs a mobile crypto mining app.
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.