RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
BofA Says Regulators May Take Action Over Money Laundering, Zelle
By Katherine DohertyU.S. regulatory agencies have been digging into consumer complaints about how banks handle reported abuses of the Zelle network.
September 09, 2024
Social Security Fixes Glitch That Shuttered Offices, Phone ServiceA technical issue affected personalized services for several hours on Friday.
August 29, 2024
Data Firm Faces a Dozen Suits Over Social Security Number LeakThe breach of National Public Data may have compromised the Social Security numbers of 272 million people.
August 26, 2024
New RIA Succession Planning Platform Targets DFA FansThe firm's founders include two Dimensional veterans and the former president of its first partner firm.
August 15, 2024
eMoney Expands Open API ProgramWealth firms can use the software for syncing and enriching client data, as well as for custom reporting.
August 12, 2024
Raymond James Nears $50M SEC Settlement Over Texting IssuesThe broker-dealer is one of several firms caught up in the SEC's off-channel communications sweep.
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.