RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
FINRA Fines Ex-Morgan Stanley Employee for Using Cell Phone During Series 7 Exam
By Melanie WaddellThe employee used his phone despite telling the proctor it was in another room, according to FINRA.
October 17, 2023
How an IRS Contractor Leaked Tax Data on Trump, Bezos and MuskCharles Littlejohn stole tax information on thousands of wealthy Americans and leaked it to several media outlets.
October 02, 2023
Chase Bank Customers Report Account Glitches, AgainChase customers reported account issues, including trouble with debit card transactions.
September 28, 2023
SEC Finalizing 19 New Settlements in Wall Street WhatsApp Probe: ReutersThe settlements are with investment advisors and broker dealers, according to the report, with details expected by Sept. 30.
August 31, 2023
Genworth Sued Over Personal Data Exposed in MOVEit HackThe breach may have exposed personal information, including Social Security numbers, of about 2.5 million Genworth clients.
August 28, 2023
Chase Trading Glitches Reported, Firm Says Problem ResolvedClients reported they couldn't complete trades, with one complaining he was out thousands of dollars.
August 16, 2023
FINRA Says Video Conferences Now a Permanent Hearing OptionVideo conference hearings will be allowed for disciplinary and enforcement hearings under certain conditions.
August 08, 2023
Wells Fargo to Pay $125M in WhatsApp CrackdownIn total, 11 firms agreed to pay penalties of $289 million to the Securities and Exchange Commission.