What Tech Traps Are Examiners Looking For?
Almost half of financial firms reported being examined by regulators in the last 12 months, according to Smarsh’s 2017 Electronic Communications Compliance Survey.
A 7-Point Checklist for Advisors to Protect Against Cyberattacks
Former Homeland Security Secretary Michael Chertoff offers his recommendations on how financial firms can prevent or limit the impact of an attack.
UBS Launches Premium Credit Card to Attract Wealthy Clients
The firm hopes to boost its banking business with a luxury-themed concierge service and rewards program.
Jon Stein — Robo Pioneer: The 2017 IA 25
“We’ve always known that if we were successful, we would have lots of competition,” Betterment CEO and co-founder Jon Stein says.
Clara Shih, Digital Doctor: The 2017 IA 25
The executive and tech entrepreneur helps advisors and broker-dealers tap into the power of social media.
Andrew Ng — AI Apostle: The 2017 IA 25
The Stanford prof and former Baidu exec sees a big future in artificial intelligence.
LPL Shares Details on 108 Recruited Reps, Newest Partner & Tech Woes
The IBD picked up at least $4.2 billion in assets in Q1'17; earlier this month, its IT network and backup systems went down.
How Advisors Can Increase Client Referrals With Digital Infrastructure
From the advent and coming-of-age of robo-advisors to preparing for the ever-impending Department of Labor fiduciary rule, it’s been a tough few years for independent advisors.
Following WannaCry, SEC Issues Ransomware Alert
The SEC identifies three preventive measures that many firms aren't taking.
Best Firms for Self-Directed Investors: J.D. Power — 2017
More banks are moving into this space; millennials are demanding as clients and can easily jump to robos, the survey finds.