RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
SEC Charges 18 in Scheme Tied to Hacked Brokerage Accounts
By Jeff BermanOver 31 online retail brokerage accounts were hacked and improperly used to buy certain stocks and manipulate prices, trading volume.
August 01, 2022
Schwab Launching Its First Crypto-Related ETFThe ETF aims to offer exposure to companies that can benefit from crypto-related business activities.
July 28, 2022
How to Help Nervous Clients NowInvestors don't want wishy-washy conversations about the markets; they want to stress test their portfolios.
July 27, 2022
SEC Hits JPMorgan, UBS, TradeStation for Identity Theft ViolationsThe three firms had deficiencies in programs to prevent customer identity theft, violating the SEC's Identity Theft Red Flags Rule, or Regulation S-ID.
July 27, 2022
When Will We Finally Get a Spot Bitcoin ETF?SEC Commissioner Caroline Crenshaw told me where she still has major questions and concerns about the crypto market.
July 26, 2022
UBS Says It's Part of Probe Into Unapproved Staff MessagingRegulators are set to levy $1 billion in fines on the biggest banks for failing to monitor employees' use of unauthorized messaging apps.
July 15, 2022
Wall Street Texting Habit Sticks Banks With Rare $1B BillRegulators have zoomed in on Bank of America, Citigroup, Goldman Sachs, JPMorgan and Morgan Stanley over record-keeping lapses.
July 01, 2022
SEC Marketing Rule Is Hottest Compliance Topic for Second Year: SurveyCybersecurity and ESG also grind compliance pros' gears, according to an annual IAA compliance survey.