Market leader Riskalyze lashed out at competitors over differences in methodologies, but the allegations opened up interesting questions about the technologies under the hood at risk analysis providers.
The key issue, as Gensler put it, is how the SEC continues to ensure that markets work for everyday investors when new technologies change the face of finance.
You have to be more patient with an online lead, nurturing it and cultivating it before it will become a revenue-generating client.
One of the main reasons we were able to achieve what we have is because we hire and retain great people who are highly skilled at what they do.
The responses of other federal agencies concerned about developments in securities markets may conflict with the SEC's core missions.
In fact, some of the largest DAF providers in the country have made significant strides over the past three years to offer donors greater flexibility to choose investments aligned with their personal values and philanthropic intent.
Advisers become a part of their listeners' lives when they launch a podcast.
The SEC chair deftly handled four hours of questioning from lawmakers, including a query about Reg BI. He showed he’s a deft politician who will be able to guide policy in a direction he favors.
As new generations of investors enter the scene, demand for advisory services will rise, as will expectations about what advisers can deliver. Understanding these shifts will be key to adviser growth in the decade ahead.
The complex nature of the wealth management sector calls for a different approach to artificial intelligence. Take advantage of the rules and regulations that complicate the industry’s operations.
While plaintiffs continue to develop many theories and new claims, one type of claim that has appeared with increasing frequency in 401(k) litigation 2.0 is an allegation that deciding to offer additional services to plans and their participants creates conflicts.
As firms strive to build enterprise value, create ways for future partners to buy in and design a lasting business model, it may be time to consider adopting an equity-based ownership structure.
Employing insights from behavioral finance when putting together the trusted contact form can increase the likelihood a client names a trusted contact, according to a recent report from the Ontario Securities Commission.
Lawsuits have popped up alleging wide-reaching conspiracies and gamification strategies at some of the most well-known firms. Online brokerages are increasingly responsible for rebuilding public trust.
Finra has allowed fully remote inspections during the pandemic, and the industry is now encouraging the regulator to make the temporary adjustments into long-term changes.
A system built around inaction shouldn’t expect people to become more involved with it, much less bear responsibility for keeping their accounts safe.
A widow couldn't decide whether to move to a condo or to a retirement community, as her children were urging. She was just stuck.
Clients want steady assurance from a seasoned adviser, but they want it integrated with the most vital tool they use to manage their lives — their phones.
The more complicated you make your advisory firm, the less valuable it is. Complexity can also reduce the odds of arriving at a fruitful succession plan.
It's not easy to keep up with the credits you need under normal circumstances, and the pandemic has made it even harder.
