RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
House Panel Passes E-Delivery Bill
By Melanie WaddellThe bill requires the SEC to write a rule allowing financial firms to deliver documents in digital format.
March 30, 2023
Fraudulent BD Account Transfers on the Rise: FINRABad actors can use information stolen from broker-dealer clients to open new accounts at other firms, or receiving members.
March 03, 2023
Work Phones Make a ComebackFirms, especially in finance, have grown concerned about data security as the SEC and CFTC step up scrutiny.
February 10, 2023
SEC, FINRA Priorities: 7 Steps to Stay CompliantThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.
February 09, 2023
Alan Moore to Step Down as AdvicePay CEOThe company's co-founder will shift to executive chairman of the board.
February 02, 2023
NYSE Glitch Caught Up in Fight Over SEC Rewrite of Trading RulesSchwab and Robinhood say the incident was a reason for concern and an argument against exchange-run auctions.
January 31, 2023
Investors Burned in NYSE Trading Chaos Demand CompensationOnce the NYSE determines how much it has to cover the claims, the amount will be divided proportionally, according to sources with knowledge of the matter.
January 26, 2023
Schwab Criticizes NYSE Over System Failure That Roiled TradingStocks for hundreds of companies were affected, and trades were canceled after the wild market swings early Tuesday.