Investment Platforms
Get the latest news and insights on investment platforms (including digital, mobile and online platforms), and how these developments impact financial advisors, the wealth management industry and more.
FINRA Seeks Feedback on BDs' Cloud Computing Practices
By Melanie WaddellFINRA seeking comments on new report, including areas where guidance or modifications to FINRA rules may be desired to support cloud adoption.
August 11, 2021
Gensler to Sen. Warren: SEC Needs More Authority to Regulate CryptoRegulators "would benefit from additional plenary authority to write rules for and attach guardrails to crypto trading and lending," Gensler says.
August 06, 2021
LPL to Add SMAs to Model Wealth PlatformThe enhancement lets advisors combine multiple investment types in one account and will be rolled out to all advisors over the next few months.
August 05, 2021
Onramp Invest Raises $6M: Tech RoundupAlso, Susan Theder, Advisor Group chief marketing officer, has joined the board of directors of regtech firm ComplySci.
August 05, 2021
Interactive Brokers Hit With Class-Action Suit Over $23M Ponzi SchemeThe firm disregarded its own compliance department's red flags and written internal compliance policies to further aid the scheme, the suit states.
August 04, 2021
LPL to Invest More Than $1.3B in Tech, Other Key Areas This YearOne major area of focus is offering its advisors more personalized solutions, CEO Dan Arnold says at Focus 2021.
August 02, 2021
Wealthfront Adds 2 Grayscale Cryptocurrency Trusts to Its PlatformThey are the Grayscale Bitcoin and Ethereum trusts.
July 29, 2021
RBC Wealth Selects Broadridge Platform: Tech RoundupTwo fintech executives also join Dynasty Financial Partners.