Employees often communicated about business on their personal devices, using text messaging applications, such as WhatsApp. The compliance systems were not keeping up with technological advances, an expert said.
Breaking out of your brand’s usual programming helps break through the attention barriers of customers and prospects.
Making sustainable investing a part of firms' investment advice and portfolio management processes requires the appropriate tools.
The Onyx Advisor Network will launch in January to support advisers of color, women, LGBTQ and others who have had trouble established a foothold in the industry.
A bug earlier this year let plan sponsor clients view outside participants' data, and one man claims he and others suffered consequences.
As the pandemic and possible tax law changes lead more Americans to think about their estate plans, advisers should take the opportunity to discuss estate planning and trusts with their clients.
'I really think that our financial advisers are going to be happy about this,' one Wells Fargo executive said.
A relaunch in 2020 has allowed the company to pivot to serving financial advisers, which is a more sustainable business model, according to CEO Eric Arnold.
Rohit Mahna will report to Mike Durbin and fills the spot vacated in June by Sanjiv Mirchandani, who took part in Fidelity's sweeping buyout offer.
The pandemic has sparked growth in collaboration tools, but for financial services firms, an enterprise-focused wealth management platform is an equally important part of solving the collaboration puzzle.
Users will be able to send cryptocurrency via digital gift cards, according to code discovered in a beta version of the company's iPhone app.
Just three of the 14 companies surveyed — BlackRock Inc., Capital Group Inc. and J.P. Morgan & Co. — received top marks in the 20th percentile, according to the research.
Factors driving the expansion in fee-only advisers include clients' and prospects' interest in having an adviser who's a fiduciary and advisers' interest in having a simpler story to tell clients.
The acquisition marks the third deal for ComplySci in the fourth quarter, in the wake of a strategic investment from K1 Investment Management, a private-equity firm focused on enterprise software companies.
Lasso, a social-networking app, is hoping to land the millions of new retail investors using online investing apps with financial advisers.
The technology allows advisers to trade weighted baskets of stocks, allowing clients to directly own a portfolio of equities designed to mimic the holdings of an ETF.
The trade association said the regulator has all the tools and authority it needs through Reg BI. It's also pushing agencies to allow remote supervision permanently.
Attacks against data integrity will be the next frontier in cyber warfare, and we need to be ready.
A subsidiary of Canada’s largest digital asset manager, 3iQ Digital Assets, has launched a new separately managed account and model portfolio for U.S. wealth managers. Fees range from 1% for single-token accounts to 2.5% for multi-token index strategies.
Amazon Web Services says it has identified the cause of 'increased error rates' and is working to fix it.
