Treasury’s Financial Crimes Unit Releases Cyber Guidance
FinCEN advisory also includes FAQ guidance on reporting of cyber-events and cyber-enabled crime.
SS&C Acquires Salentica CRM: Tech Roundup
SS&C Technologies has acquired CRM solution Salentica.
The BICE Is Not a DOL Fiduciary Get-Out-of-Jail-Free Card
Understand when you must use the best interest contract exemption under the DOL fiduciary rule — that means even you, fiduciary advisors!
SEI, Redtail Launch DOL Fiduciary Action Plan
SEI and Redtail are the latest example of firms joining forces to help advisors manage their new compliance burdens.
Raymond James, Ameriprise Keeping Commissions in Retirement Accounts
The two BDs, which have nearly 17,000 advisors, won’t relent to DOL fiduciary rule, insisting that investor choice is paramount.
Schwab’s Bettinger Comments Candidly on Robos, Scottrade, Breakaways
CEO says standalone robos will “fade away” and that Schwab passed on Scottrade deal because of the online broker’s transaction-heavy revenue mix.
Ladenburg Thalmann Hosts Female-Advisor Event for IBDs
The women met in Salt Lake City and heard from Col. Jill Morgenthaler and other VIPs.
How to Answer When FINRA Knocks on Your Door
Forward-thinking firms are mining existing data for actionable intelligence to manage compliance risk, says Bill Mariano.
CFPB Report Identifies Fintech Innovation Initiatives
CFPB's Project Catalyst attempts to expand agency's understanding of fintech.
10 Principles for Better Fintech Policymaking
Policymakers struggle to keep up with the rapid pace of technology innovation, and new business models are hampered by outdated regulations.