Marketing Technology
Get the latest news and insights about marketing technology used by financial advisors and throughout the financial services industry.
FINRA Hits BD With $250K Fine Over Emails, IMs
By Melanie WaddellH2C Securities failed to preserve and review over 1.25 million business-related electronic communications on four platforms.
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.
March 07, 2024
RFG Advisory Hires Abby Salameh as Top Growth ExecThe growing RIA platform provider also brought on Brendan Frazier and Kenneth J. Kim in C-level roles.
March 07, 2024
New Marketing Rule, AI in SEC Examiners' Crosshairs"You're going to see us focusing on marketing in almost every exam," SEC's Natasha Vij Greiner says.
March 01, 2024
Ameriprise Braces for $50M SEC Fine Over Electronic MessagesAmeriprise states in its annual report that it has reached an agreement in principle with the SEC staff.
February 29, 2024
Senators Introduce E-Delivery BillThe bill requires the SEC to allow financial firms to deliver their documents in digital format.