Results for "technology"

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Facebook data privacy issue already identified by ESG investment screens

July 13, 2018

Shortly after it was revealed that Cambridge Analytica collected data on Facebook users during the 2016 election campaign, Domini Impact Investments, a registered investment advisory firm that specializes in responsible investing, decided to...

Merrill Lynch launches fiduciary dashboard for advisers

July 11, 2018

The Department of Labor's fiduciary rule is dead, but investments in technology to help advisers meet a best-interest standard are not. This week saw the public launch of Merrill Lynch's new Fiduciary Dashboard, a practice management tool to...

SEC censures, fines advisers for Yelp endorsements

July 11, 2018

The Securities and Exchange Commission has charged three advisers for violating the testimonial rule by promoting their business on Yelp. According to separate SEC filings, Jaime Biel, William Greenfield and Brian Eyster hired Leonard Schwartz,...

Complect wants to make outsourcing compliance easier and more affordable

July 10, 2018

It's like Angie's List, but for compliance consultants. That's the elevator pitch for Complect, a technology startup that wants to help connect financial advice practices with compliance and regulatory risk professionals. On Tuesday, Complect...

More about death and taxes

July 6, 2018

Taxes matter. A lot. Recent research by 1st Global places tax knowledge at the top of a list of important factors that clients consider when selecting a financial adviser. Taxes are the biggest expense paid over their lifetime by most investors,...

Why advisers need to be both effective and efficient

July 5, 2018

Peter Drucker may be gone, but his contributions to the field of management live on, particularly his espousal of the need to focus on both effectiveness and efficiency. That means doing the right things (effectiveness) in the right way (efficiency)....

Advisers warming up to AI

July 5, 2018

Financial advisers' attitudes towards next-generation technology like artificial intelligence are quickly changing. About 84% of advisers see the potential for AI to deliver better client experiences, according to a new survey from Forbes Insights...

SEI has new approach to improve technology adoption by advisers ​

July 3, 2018

SEI Advisor Network, a turnkey asset management platform and custodian serving 7,500 advisers, is trying a new approach to developing technology that it hopes will solve the adoption challenge. The firm assembled a team of 25 of its most successful...

Wirehouses using digital advice technology to boost cross-selling

July 2, 2018

Wirehouses may be playing catchup to the technology offered by custodians and independent fintech vendors, but the next-generation technology platforms they've recently revealed suggest a growth opportunity the others lack: a new chance to cross-sell...

Why You Need an Active Social Media Presence

July 1, 2018

It may come as a surprise to some, but social media can play a key role in successfully growing your business. Routinely publishing content on social media platforms will not only help you establish your brand, but it will also help you develop...

Making a habit out of CRM best practices will help your business

June 29, 2018

"We are what we repeatedly do. Excellence, then, is not an act but a habit." — Will Durant Most of us struggle to some degree with establishing a work-life balance that yields all of our desired results. In many cases, addressing these struggles...

Congratulations! You're already a social media expert

June 29, 2018

Do I need a financial adviser? What's the difference between a financial planner and financial adviser? Are financial advisers just for rich people? How many calories are in a strip of bacon? OK, you can ignore that last one (it's 43). When...

Larry Roth joins Vestorly's advisory board

June 27, 2018

Larry Roth, the former CEO of Cetera Financial Group and AIG Advisor Group, has joined the advisory board of Vestorly, a content marketing software company serving financial firms. Mr. Roth will help Vestorly develop opportunities in financial...

Empower's new 401(k) cybersecurity guarantee a sign of the times

June 26, 2018

Empower Retirement, one of the largest retirement-plan record keepers, has begun offering participants a backstop against financial losses resulting from cyber attacks — both a sign of the mounting threat digital crime poses in the 401(k)...

Merrill adds Zelle to wealth management app to let clients make payments

June 26, 2018

Merrill Lynch is updating its mobile app with some modern features that are increasingly popular among consumers. Clients can now scan and send documents to their Merrill Lynch adviser using their smartphone camera, view activity in their Bank...

Moneyball for financial advisers

June 25, 2018

Michael Lewis' 2003 book Moneyball chronicled how the 2002 Oakland A's built a baseball team using data and advanced analytics instead of traditional methods of evaluating players. In doing so, Oakland used sabermetrics to identify undervalued...

How technology is reshaping the advice business

June 23, 2018

Two days of​ high-level talks with fintech experts, advisers, broker-dealers and custodians answered an important question for anyone looking for the perfect technology stack. It isn't out there. Perhaps most important is for firms to create...

Silicon Valley, AI hit the finance world

June 23, 2018

As the world of adviser technology continues to expand with no end in sight, how does a firm go about building the ideal technology suite for advisers? Should firms invest in adding a digital-advice component to reach millennials? And how can...

Ways to improve adviser adoption of new technology

June 23, 2018

Now that you have new tech, here's how to get advisers on board A lot is said about the benefits of technology for advisers, but less is said about how advisers can actually realize those benefits. After all, simply buying the latest gadget...

Betterment slapped with $400,000 fine from Finra

June 22, 2018

The Financial Industry Regulatory Authority Inc. has fined the digital advice company Betterment $400,000 for violating the customer protection rule and not properly maintaining its books and records. From October 2013 through January 2015,...

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