RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Genstar Capital Acquires Majority Stake in Docupace
By Janet LevauxFTV Capita, which invested in the back-office software maker in 2020, will remain a minority investor.
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.
June 12, 2024
16 Biggest Fines in SEC's Texting CrackdownThe texting sweep has been raging for over two years, with more firms expected to face fines.
June 11, 2024
Hearsay Sold to Yext for More Than $125MAn extra $95 million could be paid to Hearsay if certain post-deal performance targets are hit.
June 06, 2024
GameStop Shares Soar as Keith Gill Schedules YouTube ReturnThe stock's price surged as much as 41% to $44.41 as of 1:45 p.m. in New York, triggering a volatility halt.
June 03, 2024
NYSE Fixes Issue That Showed 99% Drops, Triggered Trading HaltsSome Berkshire Hathaway trades showed its shares changing hands near $185, a discount of 99.97% to Friday's closing price.
May 29, 2024
FINRA Fines Thrivent $325K Over Forged E-SignaturesAt least 15 Thrivent reps electronically signed customer names on over 260 documents since 2017, FINRA says.