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.
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.
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.
Playing Offense: Using Digital Infrastructure to Increase Client Referrals
From the advent and coming-of-age of robo-advisors to preparing for the ever-impending Department of Labor fiduciary rule, you could say 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.
Jamie Green: The Right Man at the Right Time
The former editor never lost sight of the real goal: providing information to help independent financial advisors better serve and care for clients.
Technology Does More Than Simplify Your Business--It Helps You Work Smarter
See how firms working with Fidelity use technology to create scale, increase efficiency and grow their businesses