RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
SEC's New Ad Rule Is Advisors' Top Compliance Challenge: Poll
By Melanie WaddellFirms also want the SEC to conduct investor testing on Form CRS and rewrite the Custody Rule, an IAA poll finds.
August 20, 2021
Regulators Are Embracing the Latest Tech Tools. Are You?Legacy systems just can't keep up with changing compliance demands of compliance.
August 05, 2021
Onramp Invest Raises $6M: Tech RoundupAlso, Susan Theder, Advisor Group chief marketing officer, has joined the board of directors of regtech firm ComplySci.
July 28, 2021
SBA to Launch PPP Loan Forgiveness PortalThe new forgiveness platform will begin accepting applications from borrowers on Aug. 4.
July 27, 2021
FINRA Preps New Fingerprint Service for BDs, Funding PortalsFINRA plans to implement the new service by September.
July 08, 2021
Broadridge to Offer Hyper-Personalization Tools for Advisors: Tech RoundupAlso, Sterling Trustees joins the Envestnet Trust Services Exchange to provide trust administration services to RIAs and BDs.
June 24, 2021
State Street to Implement Machine Learning: Tech RoundupAlso, CI Financial led a funding round for a fintech firm.
June 10, 2021
Regtech Firm ComplySci Gets $120M in Funding: Tech RoundupAlso, Onramp Invest joins Visa's Fintech Fast Track program.