RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
New SEC Plan Says RIAs Must Vet Third-Party Services
By Melanie WaddellThe SEC doesn't recognize "how little leverage firms have over many service providers," says IAA's Karen Barr.
October 06, 2022
Pershing X Teams With Startup to Boost Financial Planning Efficiency: Tech RoundupAlso, Dynasty has teamed with digital platform Allocate to give RIAs access to venture capital investments.
September 20, 2022
Morgan Stanley to Pay $35M SEC Fine Over Data SecurityAbout 15 million clients' details were compromised over a five-year period starting in 2015.
September 15, 2022
UBS Backs Ethic Asset Management Platform: Tech RoundupAlso, Hearsay Systems is adding new functionality to help advisors comply with the SEC's new Marketing Rule.
September 01, 2022
Goldman Closes on NextCapital Purchase: Tech RoundupAlso, Goldman Sachs finalizes its purchase of robo-advisor NextCapital Group.
September 01, 2022
Commonwealth Recruits New Chief Privacy Officer From LPLMichelle Kelley has also been named deputy general counsel and senior vice president.
August 25, 2022
LUMINARIES 2022 Finalists: Thought Leadership — FirmsThese 40 industry players have demonstrated excellence through innovative insights, practices and research.
August 16, 2022
Wall Street's $2B WhatsApp Fines Are Years in the MakingThe regulators have taken the view that any use of personal devices for business communications is problematic.