RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Hacking Group Claims It Stole Wealthy Clients' Data From Christie's
By James Tarmy & Jake BleibergThe group posted the information and suggested it would publish the entire trove in early June.
May 14, 2024
FINRA Fines, Suspends Rep Over WhatsApp MessagesOne client he communicated with was his former brother-in-law, who complained of investing losses, FINRA said.
April 30, 2024
LPL Nears $50M SEC Settlement Over Messaging App UseThe IBD will join more than a dozen other firms that have paid fines over off-channel communications.
April 26, 2024
SEC Probing Firms Hit by Massive MOVEit CyberattackThe agency has dispatched dozens of sweep letters to companies affected by the hack, which affected 2,770 organizations.
April 08, 2024
FINRA Hits BD With $500k Fine Over TextingIt also suspended the firm's CEO for not preserving and checking 10,900 text messages sent or received by 27 associated persons.
March 07, 2024
Must-Do Steps to Prepare for AI ComplianceWhile we're in the first stages of regulation, it's not too early to plan approaches to the technology.
February 23, 2024
LPL Facing SEC Fine as High as $50M Over Texts, App UseTwo weeks ago, 16 other firms agreed to pay more than $81 million for similar issues.
February 21, 2024
Aaron Klein to Join Ezra GroupThe former head of Nitrogen, earlier known as Riskalyze, will be executive-in-residence for the consulting group.