RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Wealth.com Adds Private Wealth Head
By Melanie WaddellIn the new role, Kathy Wunderli will focus on estate planning, probate, trust administration and tax matters.
January 28, 2025
Sycamore Rolls Out New Surveillance PlatformAdvisory firms can use the technology to detect, monitor and review activities like transaction and commission data.
January 28, 2025
FINRA Issues New Warning on Reg BI, Form CRS ComplianceThe just-released 2025 FINRA Annual Regulatory Oversight report covers areas the regulator will be watching this year.
January 23, 2025
Wealth.com Nabs Nitrogen Exec for Key RoleDan Bolton will serve as head of marketing for the estate planning platform.
January 21, 2025
SEC Launches Crypto Task ForceThe group will be led by Commissioner Hester Peirce, nicknamed “Crypto Mom” by the industry.
January 21, 2025
Digital Assets, Taxes, Regulatory Pause Top New Year Focus: SIFMAThe group will advocate for maintaining tax-exempt status for municipal securities, according to CEO Ken Bentsen.
January 16, 2025
As Wire Fraud Claims Rise, Advisors May Find They Aren’t Properly InsuredAn advisory firm needs to protect itself to ensure that it isn’t on the hook for these liabilities.
November 21, 2024
These Two Tech Tools Wowed Judges, Advisors at XYPN LiveJudges selected a compliant texting solution, while conference attendees favored a CRM platform that helps with client meetings.