RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Raymond James Nears $50M SEC Settlement Over Texting Issues
By Dinah Wisenberg BrinThe broker-dealer is one of several firms caught up in the SEC's off-channel communications sweep.
July 23, 2024
Genstar Capital Acquires Majority Stake in DocupaceFTV Capita, which invested in the back-office software maker in 2020, will remain a minority investor.
July 19, 2024
Smarsh Integrates ChatGPT With Its Compliance PlatformThe integration allows financial services firms to use ChatGPT Enterprise compliantly, the tech firm says.
June 17, 2024
Luminaries FAQ: How to Participate in ThinkAdvisor's 2024 Awards ProgramNominations for individuals and firms are due July 24. Here's how to do submit them in 10 categories this year.
June 13, 2024
Wells Fargo Fires Over a Dozen for 'Simulation of Keyboard Activity'The staffers, all in the firm's Wealth and Investment Management unit, were discharged after faking work.
June 13, 2024
FINRA Slaps Rep for Texts, LinkedIn MessagesThe rep exchanged more than 1,000 business communication outside allowed channels, FINRA says.
June 12, 2024
16 Biggest Fines in SEC's Texting CrackdownThe texting sweep has been raging for over two years, with more firms expected to face fines.
June 11, 2024
Hearsay Sold to Yext for More Than $125MAn extra $95 million could be paid to Hearsay if certain post-deal performance targets are hit.