If you’re one of the many advisers thinking about making this practice a regular occurrence, make sure the experience is both high quality and compliant.
Denizens of the metaverse can be ripped off by virtual investments, the North American Securities Administrators Association said in an advisory.
Riskalyze Ultimate combines two existing products, Command Center and Riskalyze Elite, to bring compliance and business development together.
Financial advisers will receive advanced training on integrated practice management platforms.
A quarter of plan participants now prefer to receive 401(k) account information via email, up from 9% in 2020, according to Cerulli Associates.
In the newly created position, Michelle Kelley will lead the firm’s legal department and provide counsel on cybersecurity and privacy laws.
As the market sell-off erodes investors’ savings, they’re becoming more critical of the platforms provided by their retirement plans.
The firm was founded in 2011 to help refinance student loan debt but now offers an array of products, including mortgages, personal loans, insurance and a robo-adviser.
A roundup of this week's adviser fintech news, including SEI's introduction of a cloud-based database and SMArtX's partnership with Flyer.
Goldman has been straining to prepare a feature that would let users set up direct deposits and pay their bills online, but it's constrained by the accelerating losses on its online platform, Marcus.
Financial professionals can reach a broader group of prospects — of all ages and in all locations — on their social media channels with fewer mechanics involved than planning an in-person event.
The fintech has purchased UBS Fund Advisor, the wirehouse’s legacy proprietary U.S. alternative investment manager and feeder fund platform that represents $7 billion in client assets.
Finra has proposed a pilot program for firms that want to continue remote inspections, in line with the seemingly permanent use of remote work.
A roundup of the week's fintech news for financial advisers.
The QDIA combines a target-date fund for younger individuals and Stadion’s StoryLine managed account service for participants aged 50 and older.
The wirehouse is also adding additional automation to its Shareworks and Equity Edge Online platforms.
Alison Dooher, head of digital adviser solutions at Schwab Advisor Services, gives a look at the brokerage's integration road map.
Firms are constrained by legacy technology stacks, and it's not easy for them to pivot and deliver the connected digital wealth experience their advisers want.
This month's roundup looks at Envestnet's acquisition of Redi2, Catchlight's new system to assess prospects and AssetMark's deal for Adhesion Wealth.
SEC, CFTC worried that messages were being completely lost and would ultimately make it harder to look for wrongdoing.
