RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
AdvicePay Buys Compensation Software Firm
By Janet LevauxThe platform says the acquisition of AdvisorBOB is “a strategic step" to further help fee-based planners.
April 16, 2025
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 OthersSixteen firms sought to change their off-channel messaging orders, saying firms that settled later got better terms.
April 16, 2025
12 Trends Shaping the Future of 401(k)sThe $10 trillion retirement plan market is "at a crossroads," said KWP Growth Partners' Lisa Kottler.
April 15, 2025
FINRA Reevaluates Its Office CategoriesThe regulator is exploring the impact of new technology and hybrid work on how offices should be supervised.
April 04, 2025
FPA Rolls Out Cybersecurity CertificateThe program, which offers CE credit, aims to help financial planners safeguard their practices and clients.
March 21, 2025
Docupace Snaps Up Workflow Management PlatformThe software maker is buying Hubly, which serves the back offices of RIAs and wealth managers.
March 05, 2025
How to Personalize and Scale Full-Spectrum Financial PlanningOn March 13, learn how to deliver tailored client experiences while maintaining the efficiency needed for growth.
March 04, 2025
Citi Copy-Paste Error Almost Sent $6B to Wealth AccountThe error occurred in the same month that the bank accidentally credited $81 trillion to a different client.