Marketing Technology
Get the latest news and insights about marketing technology used by financial advisors and throughout the financial services industry.
SEC Hits 5 RIAs With Marketing Rule Fines
By Melanie WaddellThe firms have agreed to pay $200,000 in combined penalties over their use of hypothetical performance in ads.
April 05, 2024
FINRA Hits Another BD in Finfluencers SweepThe promotional communications on social media platforms contained promissory language and violated organizational rules.
March 29, 2024
FINRA Hits BD With $250K Fine Over Emails, IMsH2C Securities failed to preserve and review over 1.25 million business-related electronic communications on four platforms.
March 28, 2024
10 Trends Shaping Wealth Management in 2024As many investors look beyond prioritizing wealth preservation, wealth managers must get creative, according to Capgemini.
March 25, 2024
The SEC Marketing Rule Sweep Has BegunAre you being too aggressive with your marketing efforts? Be careful.
March 14, 2024
Advisors Plan to Hike Spending on Client-Facing Tech: Survey"Investors are demanding more of their advisors and advisors are poised to deliver," Orion CEO Natalie Wolfsen said.
March 14, 2024
Using AI to Give Clients What They Want, but Aren't GettingShowing prospects what AI can do tends to "sweep them off their feet," FP Alpha's Andrew Altfest says.
March 13, 2024
4 Things Advisors Must Know About Beneficiary DesignationsAdvisors who think a will controls the disposition of all assets at death are making a big mistake.