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Technology Based Innovations for Regulatory Compliance (“RegTech”) in the Securities Industry1
Regulation is a fundamental pillar supporting the success of the financial services industry, ensuring protection of investors and integrity of markets. Over the past century, regulatory requirements have evolved, both in the U.S. and globally, to keep pace with the growing complexity, speed and sophistication of the financial markets. As financial services firms seek to keep pace with regulatory compliance requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in meeting their obligations in an effective and efficient manner.
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