Tag: broker dealers

Financial services firms are becoming larger, more complex and increasingly interconnected, but that does not necessarily mean their compliance technology should follow the same...

Regulation S-P has long been filed away as a problem for privacy officers, cybersecurity teams and legal departments. That assumption is now a liability,...

Key global WealthTech investment stats in Q1 2026: Global WealthTech deal activity grew by 10% YoY US firms secured over half of all global...

FINRA’s 2026 Annual Regulatory Oversight Report has set a clear tone for the year ahead, placing generative AI (GenAI) governance and off-channel communications squarely...

The U.S. Securities and Exchange Commission has unveiled its Fiscal Year 2026 Examination Priorities, and while the language may appear measured, the message to...

Financial advisors sit in one of the most heavily regulated corners of financial services, and the job is getting harder as client expectations rise,...

The US SEC has set out its 2026 Examination Priorities, and the message for regulated firms is clear: supervisors expect stronger, better documented controls...

Broadridge Financial Solutions has successfully implemented full ISO 20022 cash processing capabilities across its post-trade platform, ensuring its global bank and broker-dealer clients are...

Jump, a provider of artificial intelligence (AI) solutions tailored for financial advisors and financial services firms, has secured $20m in a Series A funding round.

DriveWealth, a pioneer in financial technology with its Brokerage-as-a-Service offerings, has unveiled comprehensive integrations with several leading execution management system (EMS) platforms, including Bloomberg...