RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
FINRA Fines Wells Fargo $2.25M
By Jeff BermanWells Fargo Advisors Financial Network and Wells Fargo Clearing Services failed to store about 13 million client records in the "WORM" format.
October 27, 2021
Meet the Winners: LUMINARIES in Executive Leadership, 2021 — FirmsHere are the firms being honored for driving the financial industry forward in executive leadership.
October 22, 2021
Orion Buys Compliance and Risk Management FirmThe acquisition, which closed on Friday, 'complements' what Orion has been doing in the compliance space, T3 head Joel Bruckenstein says.
October 15, 2021
4 Tech Trends Transforming 401(k)sEvery aspect of the retirement industry is changing, and technology is at the core of it all, a Vestwell survey found.
October 12, 2021
How to Take Networking, Problem Solving to the Next LevelF2 Strategy's Doug Fritz explains what makes today's advice-focused businesses tick and how data can be an advisor's friend.
October 01, 2021
Riskalyze Unveils Platform Enhancements, Docupace Announces Deal at Fearless SummitLatest additions to the Riskalyze platform include Discovery, a feature using a quantitative engine to find the best securities for each client.
September 29, 2021
Lori Hardwick Named Vestwell ChairHardwick, CEO of RedRock Strategic Partners, also sits on the boards of Cetera, Genstar and Orion.
September 20, 2021
Industry Experts to Share Tips on Boosting Your BusinessOur webcast, set for Thursday, will highlight how advisors can lower costs, improve efficiency and meet investors' rising expectations.