How Key Energy Got the SEC to Go Easy on Bribery Charges
The SEC accused its Mexican subsidiary of violating provisions of the Foreign Corrupt Practices Act but only made the company disgorge $5 million in profits.
Robo Technology's Promise Redux: It’s About the Clients, Stupid
Comments on a prior blog lead me to refine my point about who will be the bigger beneficiary of digital advice platforms.
Hearsay Launches New Social Media Tool for Advisors
The platform tracks client communications, suggests steps for advisors to take and gives broker-dealers data for building best practices.
USAA Nabs Citi's FinTech Chief
Heather Cox joins USAA as head of IT, digital strategy and client experience as the firm is pioneering biometrics for account logins.
Raymond James Completes Rollout of Mobile Platform
The firm also has introduced document sharing technology to its roughly 6,800 financial advisors.
Cyber Stocks Slip, but Opportunities Remain
Although several cybersecurity firms have reported lower-than-expected earnings recently, there's still room for growth in the industry.
Dynasty Financial Rolls Out Framework for Expanding RIAs
The partnership aims to help more advisors grow assets by taking on their growing back-office work.
How Robo Technology Will Take Independent Advice to the Next Level
Aided by robos, advisors will become more like today’s doctors, analyzing information collected by robo platforms, reviewing the platforms' recommendations and helping clients implement them.
Most Consumers Use Mix of Technology, Live Advice: Report
It's easier for small robos to "optimize" client service, but that doesn't mean more traditional firms can't compete, Hearts & Wallets says.
FINRA Sweeps Broker-Dealers for Info on Nontraded BDCs
The exam sweep covers all member firms and advisors selling the companies between January 2015 and June 2016.