Marketing Technology
Get the latest news and insights about marketing technology used by financial advisors and throughout the financial services industry.
SEC Examiners Turn Up the Heat on Marketing Rule Compliance
By Melanie WaddellSEC's new risk alert shows examiners "will be undertaking a comprehensive approach," says attorney Issa Hanna.
May 16, 2023
Reg BI Is a 'Work in Progress': SEC ChiefSEC Chairman Gensler addressed hot topics, like off-channel communications, at FINRA's annual conference Tuesday.
May 11, 2023
HSBC, Scotia Capital Hit With SEC Text Message FinesBoth firms admitted their employees often communicated about securities business using platforms like WhatsApp.
May 04, 2023
Snappy Kraken Unveils Digital Marketing Service: Tech RoundupAlso, Interactive Brokers has launched a new direct-indexing solution RIAs can use to personalize client portfolios.
April 26, 2023
Client Sues Allstate Over Use of Marketing SoftwareThe plaintiff says keystroke recording without adequate disclosures violates California privacy laws.
April 25, 2023
Wealthtender Adds Testimonial Marketing EvangelistAdvisors are still not clear on how to comply with the new SEC Marketing Rule, Diana Cabrices says.
April 24, 2023
Finance Twitter Decides: Blue Check Mark or Not?Some financial experts cite security concerns as a reason to pay for a blue check mark.
April 24, 2023
Raymond James Targets $2T in AssetsScott Curtis, Private Client Group chief, explained the firm's 2030 target and more strategies at its advisor conference Monday.