RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Why a Privacy Checkup Can Keep You Out of Trouble
By Thomas D. GiachettiHere's how to comply with Regulation S-P, which requires that advisors issue privacy notices and protect clients' personal information.
January 14, 2022
Wealth Managers: Let Personalization be Your GuideAbout a quarter of consumers surveyed by Broadridge say they've dropped firms due to lack of personalized service.
January 11, 2022
6 Steps to Winning at InnovationWith a dizzying array of technology options, advisory firms can benefit from following these steps in selection and implementation.
December 22, 2021
Bitcoin Fails to Make SEC Chief's To-Do List: 2022 OutlookSEC approval of a spot Bitcoin ETF remains in limbo as Republican commissioners balk at the omission of crypto from Gensler's agenda.
December 22, 2021
Electronic Signatures May Get Help From the D.C. GorillasThe shift away from paper signatures is part of Social Security streamlining efforts.
December 22, 2021
5 Big Shifts That Will Reshape Wealth Planning in 2022 and Beyond: Northern TrustThe pandemic's impact will be felt long after it's declared over. Here's what advisors can expect.
December 15, 2021
3 Steps to a Safer RIARisk comes in more packages than markets. Cybersecurity can mean the difference between losing and keeping clients.
December 09, 2021
RIA in a Box Bought by ComplySci: Tech RoundupAlso, Riskalyze adds Pulse 360 to its advisor productivity suite, and Broadridge appoints Dipti Kachru as global CMO.