Tag Archives: RegTech

FINRA Requests Comments: Technology Based Innovations for Regulatory Compliance ( “RegTech”)

FINRA released a white paper outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers. FINRA highlights five areas where industry participants have most prominently leveraged RegTech innovations: surveillance and monitoring, customer identification and antimoney laundering compliance, regulatory intelligence, reporting and risk management and … Continue reading FINRA Requests Comments: Technology Based Innovations for Regulatory Compliance ( “RegTech”)