RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
NYSE Glitch Caught Up in Fight Over SEC Rewrite of Trading Rules
By Katherine Doherty and Lydia BeyoudSchwab and Robinhood say the incident was a reason for concern and an argument against exchange-run auctions.
January 26, 2023
NYSE Mayhem Traced to Staffer 700 Miles AwayBehind closed doors, NYSE executives are grappling with both the potential cost and the impact on the exchange's reputation.
January 26, 2023
Morgan Stanley Fines Some Staff $1M Over Messaging BreachesIndividual penalties are based on factors like seniority, the number of messages sent and any prior warnings.
January 06, 2023
5 Keys to a Texting Policy That Will Stand Up to SEC ScrutinyThe SEC is aggressively looking into texting by financial professionals. Does your firm have appropriate policies and procedures?
December 22, 2022
Riskalyze, InvestorCOM Deal Gives Advisors Help With Rollover Compliance: Tech RoundupBento Engine has generated over 7,000 advice alerts enabling advisors to educate clients, prospects about financial life advice.
November 07, 2022
Feds Score $3B Crypto SeizureProsecutors seized almost $3.4 billion in Bitcoin from a property developer who scammed the dark web marketplace Silk Road.
November 01, 2022
Financial Firms Spent $1B on Ransomware Payments in 2021The Treasury Department says some 1,489 incidents were reported last year vs. 487 in 2020.
October 26, 2022
New SEC Plan Says RIAs Must Vet Third-Party ServicesThe SEC doesn't recognize "how little leverage firms have over many service providers," says IAA's Karen Barr.