RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Orion's New 'Compass' Automates RIA Compliance
By James J. GreenProactive tools include mock audits, SEC exam data retrieval; anti-money laundering screens.
September 07, 2017
RiXtrema Launches New Fiduciary Compliance ToolRiXtrema has made updates to help advisors and broker-dealers monitor retirement plans for compliance with the Supreme Courts Tibble v. Edison decision.
September 05, 2017
RIA in a Box Launches New Regtech SoftwareRIA in a Box announced Tuesday that it has released new employee trade monitoring software as part of its MyRIACompliance tool.
June 16, 2017
Why IBM’s Watson Regtech May Not Be Right for AdvisorsAI is whatever five years from now well think is normal, according to Brian Clark of Ascent.
June 14, 2017
IBM Releases Watson-Powered Regtech SoftwareIBM has launched a suite of regtech products powered by Watson, IBMs artificial intelligence platform, to help financial services firms manage their growing compliance responsibilities.
April 07, 2017
eMoney Compliance Tool Goes Live: Tech RoundupAdvisorStream, and SS&C also announced new integrations and updates this week.
March 24, 2017
Hearsay Launches AI-Powered Compliance Platform: Tech RoundupHearsay has enhanced its enterprise compliance platform to use predictive analytics to separate actual compliance risks from false alarms.
March 03, 2017
SEC to Probe Advisor, BD Fiduciary Compliance With ReTIRE InitiativeGone are the days of a long, full-scope exam, said acting exam director Pete Driscoll.