RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Synovus Securities to Pay $315,000 Over E-Signatures
By Melanie WaddellThe BD failed to detect red flags that four associated persons forged and falsified hundreds of signatures, FINRA says.
September 05, 2025
Who Actually Needs to Register as a Broker-Dealer? — SEC RoundupAndreessen Horowitz and the DeFi Education Fund are proposing a "safe harbor" for fintech apps.
September 05, 2025
SEC Wiped Ex-Chair Gensler's Text MessagesThe agency's inspector general is recommending actions to strengthen the management of mobile devices and federal records.
August 30, 2025
Docupace Unveils AI Roadmap for Wealth ManagementFirms that embrace intelligent automation will lead the next decade’s competition, according to the software provider.
August 29, 2025
Top Annuity Seller Wins Cybersquatting CaseThe other organization using a similar trademarked name runs a mobile crypto mining app.
August 27, 2025
Interactive Brokers to Join S&P 500, Replacing WalgreensThe changes will take place prior to the opening of trading on Thursday, according to S&P Dow Jones Indices.
August 25, 2025
Industry Veteran Hassan Tapped as DriveWealth CEOHassan, who left UBS last year, worked earlier for the Federal Reserve Bank of New York, Morgan Stanley and Charles Schwab.
August 20, 2025
TaxStatus Taps New Board MembersEric Clarke and Ric Edelman will help the tax data provider with the launch of its new lead generation program for advisors.