Results for "technology"

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The SEC brings its adviser advertising rules into the internet age

November 9, 2019

The Securities and Exchange Commission wants to revamp its rules governing adviser advertising, and the changes should allow financial advisory firms to make better use of social media. [More:​ SEC promises revised advertising rule soon] The...

Data privacy issues looming

November 9, 2019

Retirement plan record keepers are concerned about two looming data privacy issues that could have a big impact on their business. Lawsuits threaten companies' ability to cross-sell products, and cybersecurity looms as an increasing cost just...

Blockchain offers benefits to retirement ecosystem

November 9, 2019

America's workplace savings industry is a diverse and complex ecosystem of employee participants, plan sponsors, record keepers, advisers, asset managers, broker-dealers, banks, insurers and multiple government agencies. Information that flows...

Adjusting to the squeeze of fee compression

November 9, 2019

Even as 401(k) record keepers have found ways to adapt to the reduction in revenue caused by ongoing and drastic fee compression in the retirement industry, other revenue threats loom from financial advisers and retirement-plan lawsuits, according...

Firms need to communicate better with their valued advisers

November 7, 2019

There are a host of reasons why advisers choose and then ultimately stay with — their firm, with geography, culture and product availability being among the most common. Perhaps no consideration, however, is as important as service. While...

Cybersecurity is a ticking time bomb for 401(k)s

November 6, 2019

In a recent call with a 15,000-employee plan sponsor client that had implemented automatic enrollment, Kathleen Kelly, managing director at Compass Financial Partners, discussed their concerns that a majority of the plan participants had not...

Robinhood traders uncovered a glitch that gave them 'infinite leverage'

November 5, 2019

A glitch in the Robinhood Markets Inc. system is allowing users to trade stocks with excess borrowed funds, giving them access to what amounts to free money. Dubbed the "infinite money cheat code" by users of Reddit Inc.'s WallStreetBets forum,...

Veteran Goldman Sachs executive to head United Capital FinLife tech

November 5, 2019

Goldman Sachs is officially an adviser technology vendor. The bank announced at Schwab Impact that it has named Rachel Schnoll, a 20-year Goldman veteran who most recently served as head of retail product strategy for Goldman Sachs Asset Management,...

UBS looking to deploy fintech to reach mass affluent

October 31, 2019

Like many firms, UBS Global Wealth Management is looking to improve its digital financial planning capabilities, eliminate paper, and make it easier for more investors to access financial advice, the firm's technology executives said on Wednesday...

T3 Enterprise conference: Race to zero a popular topic

October 29, 2019

One of the biggest themes of the 2019 T3 Enterprise conference, which caters to technology decision makers at banks, broker-dealers and adviser networks, wasn't even about technology. An undercurrent at many of the panel discussions was the...

4 areas advisers should investigate before leaping to another firm

October 24, 2019

Anyone who's ever switched jobs — or entered into marriage — has thought "this isn't what I expected." Often, advisers join a new firm with high hopes of serving their clients better while also growing their business, only to become disillusioned...

Schwab platform gives advisers easier access to alternative investments

October 24, 2019

Schwab Advisor Services has a new platform to provide independent registered investment advisers easier access to alternative investments. The Alternative Investment Marketplace features third-party sponsors offering a menu of private equity,...

Does the world need another custodian?

October 22, 2019

Last week in New York City, former Electronic Transaction Clearing executives hosted a party to launch their latest venture: Velox Clearing. Velox is a custody and clearing firm targeting registered investment advisers, small to midsize brokers...

4 ways to help clients control their digital afterlife

October 22, 2019

Your clients have more digital assets than they realize. What happens to those digital assets when they die? Until now, the terms of service for each individual site have determined who has ownership and access after a death and whether the...

DOL proposes rule on digital 401(k) disclosures

October 22, 2019

The Department of Labor proposed a rule Tuesday that's meant to encourage more employers to issue retirement plan disclosures electronically to plan participants. The rule would allow sponsors of 401(k)s and other defined-contribution plans...

Saying goodbye to Jud Bergman

October 21, 2019

On Oct. 16, Jud Bergman was memorialized in his hometown of Chicago. He and his loving wife Mary lost their lives when their taxi was struck by an impaired driver on the Bay Bridge in San Francisco. Almost everybody in wealth management has...

eMoney Advisor unveils Project Avocado for mobile budgeting

October 17, 2019

Offering a playful nod to millennial fondness of a certain green vegetable, eMoney Advisor showed off its new mobile budgeting app called Project Avocado at its annual conference for advisers. The financial planning technology vendor, which...

Technology can help balance adviser portfolio discretion with firm controls

October 17, 2019

The technology most closely connected with firm growth and adviser retention isn't digital advice or "frictionless process automation," according to a new report by consulting firm F2 Strategy and MyVest, a digital advice vendor owned by TIAA....

Using technology to manage investor behaviors

October 15, 2019

As a financial adviser, how do you measure the value you deliver to your clients? Or more importantly, how do your clients measure the value you deliver to them? Is it just about performance? Or is it more about the intangibles — about helping...

Pershing and Fidelity making it easier for advisers to use model portfolios

October 14, 2019

Custodians are introducing new technology to make it easier for financial advisers to use model investment portfolios with clients. BNY Mellon Pershing announced on Monday a new digital portal for managing and delivering model portfolios, while...

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