Compliance Data Analytics: Do as Regulators Say AND as They Do
Financial services firms should follow the lead of the SEC and FINRA and use more sophisticated technology tools to improve their compliance programs.
Banks Line Up for Dot-Bank Domain Names to Help Prevent Cyberattacks
The domain extension offers enhanced security features, including strong encryption and verification requirements.
Clients Are Financially Savvy, and Other Myths
Reminders on why charging fees based on assets under management is by far the most client-centered form of advisor compensation.
Morgan Stanley Q2 Wealth Profits Up 20% as Advisor Headcount Falls
CEO Gorman said the advisor recruiting environment was "pretty stable" and that the firm was unlikely to pursue an acquisition.
5 Ways Advisors Can Win Affluent Millennials’ Affection: LinkedIn
A new study from LinkedIn examines what affluent millennials are looking for in a financial advisor.
Schwab Posts First Robo Results; Q2 Earnings Beat Estimates
The brokerage firm rolled out automated advice offerings for investors and advisors this year.
Wells Fargo Mulls Robo-Advisory Offering
The news comes more than five years after BofA rolled out Merrill Edge.
BDs Increasing Protection Against Cyber Breaches, Survey Finds
'Some firms have been the subject of benign incidents but haven’t realized it yet,' says Sutherland's Rubin.
Cybersecurity ‘Not Owned’ by Compliance but Shared: FINRA Exec
Cybersecurity is “an operational risk issue,” said FINRA’s Daniel Sibears.
6 Steps for Advisors to Get More Clients
Eager to raise its profile as an advisor custodian, Scottrade is offering a series of workshops on business development.