The record amount of civil penalties was driven in part by the fines against some large Wall Street firms for failing to preserve text message communications on personal devices.

The regulatory organization’s interest in firms’ communications on 'crypto asset products and services' follows the collapse of FTX last week.

There’s no sign they will so far.

The collapse of FTX will catalyze regulators to come into the space aggressively, but the crypto industry will be better off on the other side of it, argues Bitwise Chief Investment Officer Matt Hougan.

Make sure you can defend your TAMP selection in terms that benefit your clients. If you can’t, move now before an SEC examiner knocks on your door.

As the world awaits the final result of the US midterms, the finance industry is trying to figure out how vulnerable the outcome will leave it.

Strategic wealthtech and advisory firms should always be scanning “waivers” for experienced talent