Investment Advisor Compliance in the Digital Age
There are many ways that existing technology can support a robust compliance program.
Impressions From T3 Conference: The Future Is Bright, Part 1
Perhaps one of the most striking themes heard at the conference is that the technology solutions have become so numerous, one of the greatest challenges is just choosing among them all.
Schwab, Envestnet Join Forces in Data Integration Deal
Advisors using the solution will see “dramatic gains” in their ability to serve clients and scale businesses more profitably, said Stuart DePina, group president of Envestnet | Tamarac.
SEC’s Top 6 Tips to Help Seniors Avoid Social Media Fraud
The SEC’s Office of Investor Education and Advocacy issued an Investor Bulletin to provide seniors who use social media with safety tips to help them avoid investment fraud.