Choosing Technology for Your Advisory Firm—CRM and Financial Planning
Both software tools sit at the center of a planner’s practice. Here are some issues to consider, and resources to help you decide.
The Robo Threat Is Here to Stay. Are You?
Here are two ways advisors can thrive and survive in today's changing landscape.
10 Best Investing Sites for Mobile Users—2015: Dalbar
Dalbar ranked the mobile sites of 46 financial services companies and these 10 stood out for their design, content, security and more.
SEC Fines Virtus $16.5M for Failing to Probe F-Squared’s False Performance Claims
During the time Virtus used the false and misleading ads, its AlphaSector fund assets grew from $191 million to $11.5 billion, according to the SEC.
Scottrade to Pay $2.6M FINRA Fine Over Email Retention Failures
Scottrade failed to adhere to federal securities and FINRA rules under the 'Write-Once, Read-Many' or WORM format
9 Negative Phrases to Avoid With Clients (and What to Say Instead)
Check yourself before you wreck yourself. Always, always practice what you're going to say before calling a new prospect.
When Banks Cut Off Data From FinServ Sites, Who Wins?
Restricting data is “ultimately more harmful for the investor,” Orion's chief technology officer says.
Going Indie? Choose Your Tech Tools Wisely
As a newly independent advisor picking tech tools, I felt like a kid in a candy store. But it’s important to build slowly and prioritize.
3 Emerging Cyber Threats to Watch in 2016: SIFMA
The cybersecurity landscape is “worsening,” said Morgan Stanley’s chief information officer at SIFMA’s annual meeting.
How to Keep Robots From Taking Your Job: Clara Shih
For advisors, the Hearsay Social CEO says, the key to staying in business is to be less like a salesperson and more like a therapist.