RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
How New Tech Can Really Help Advisors: Cerulli
By Jeff BermanMore tech adoption can provide greater efficiency and improve productivity, Cerulli says.
June 30, 2020
Reg BI Is Here. Is Your Tech Ready?Now is a good time for BDs to reevaluate their legacy technology systems.
June 16, 2020
RIA in a Box Launches Cybersecurity Insurance for Advisors: Tech RoundupAlso, SEC's FinHub launches virtual peer-to-peer meetups.
June 10, 2020
How Investors Can Evaluate Muni Bonds in the COVID-19 EconomyInvestors and their advisors need to be extremely thorough in the current environment. Technology can help.
May 27, 2020
Regulatory Groups Gear Up Remote Exam RequirementsFINRA reduces mediation fees and enhances action against new wave of scams.
March 25, 2020
Envestnet, CSS Launch Reg BI Tool for RIAs and BDsThe software pulls data from a firm's SEC and FINRA filings to complete Form CRS.
January 08, 2020
How Advisors Can Comply With FINRA's Stricter Fixed Income GovernanceEnsuring best execution is no longer as simple as making a few phone calls.
December 09, 2019
How Tech Could End Conflicted Financial AdviceThe RIA founder tells ThinkAdvisor how regulators could address conflicts of interest and what he thinks the industry will look like in 10 years.