RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
New Bill Would Block SEC Predictive Data Analytics Rule
By Melanie WaddellThe Protecting Innovation in Investment Act would prevent SEC from finalizing, implementing or enforcing the controversial rule.
December 18, 2023
Complying With SEC Cyber Rules Remains 'Super Difficult'Rules now require public firms to report cyber issues within four business days of finding them "material" to shareholders.
December 15, 2023
CEO Exits, Layoffs Signal Private Equity's Growing Impact on Wealth ManagementSeveral big changes in leadership highlight how PE firms are making their presence felt beyond investment dollars.
November 29, 2023
FINRA Fines Ex-Morgan Stanley Employee for Using Cell Phone During Series 7 ExamThe employee used his phone despite telling the proctor it was in another room, according to FINRA.
November 03, 2023
IRS Indefinitely Extends E-Signature AuthorizationThe acceptance of digital signatures on key documents continues "until more robust technical solutions are deployed."
November 02, 2023
CAIS, Nitrogen Events Highlight Growth StrategiesA new alternatives platform, generative AI and client testimonials were among the themes discussed by industry VIPs.
October 17, 2023
How an IRS Contractor Leaked Tax Data on Trump, Bezos and MuskCharles Littlejohn stole tax information on thousands of wealthy Americans and leaked it to several media outlets.
October 02, 2023
Chase Bank Customers Report Account Glitches, AgainChase customers reported account issues, including trouble with debit card transactions.