RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Cracks in the CAT: Court Rules Against SEC’s Massive Surveillance Tool — SEC Roundup
By Nicolas Morgan and Tom ZaccaroThe SEC’s Consolidated Audit Trail just got a major reality check from the 11th Circuit Court of Appeals.
July 16, 2025
Trump 'Crypto Week' in Limbo Amid House Republican ImpasseSome conservatives want legislation that prohibits the Federal Reserve from issuing digital assets.
June 30, 2025
The Rise of Human-AI Teams in Life InsuranceAI can elevate consumer trust by making Reg BI possible.
June 20, 2025
UBS Confirms Data Stolen After Hack at External SupplierCEO Sergio Ermotti’s direct phone number was also among the leaked information.
June 20, 2025
Morgan Stanley to Shutter Electronic Equity Market-Making UnitThe firm has been the last major bank still in the business of paying retail brokers for options order flow.
May 15, 2025
LPL Drops Suit Over Ameriprise's 'Defamatory' Data Breach NoticesThe financial services firms agreed that LPL could pursue claims with FINRA, among other points.
May 07, 2025
AdvicePay Buys Compensation Software FirmThe platform says the acquisition of AdvisorBOB is “a strategic step" to further help fee-based planners.
April 24, 2025
Nasdaq Partners With Amazon Web to Move More Markets to CloudTo start, the firms are working with the Johannesburg Stock Exchange and Mexico’s Grupo BMV.