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What do regulators have in store for financial services in 2024?
With lots of new and existing regulations to deal with, as well as the challenges posed by AI, it's shaping up to be a strenuous year for compliance executives.
TCPA tidal wave will affect how firms engage with clients
The federal regulation governing telephone marketing also covers texting, and now many states have put in place their own versions of the regulation, with different terms and definitions.
Galvin launches investigation into brokers’ use of AI
The Massachusetts Secretary of the Commonwealth sent letters to firms including JPMorgan and Morgan Stanley to learn how they are using AI with investors.
Understanding WhatsApp supervision
What financial services firms need to know about the risks of scraping software versus the benefits of an API-based integration.
Twitter struggles to match engagement found on other networks, study finds
For advisors, LinkedIn and Facebook were far better for generating interactions than Twitter.
Firms brace for SEC spotlight on electronic communications
Protecting investors from fraudulent, misleading or otherwise problematic electronic communications seems to be of the utmost importance to regulators.
Hearsay uses AI to recommend content advisors can post on social media
The new Content+ module on Hearsay identifies content across the internet and curates it into thematic collections.
Sticking with WORM may leave advisory firms in the dust
The SEC's amendment to rule 17a-4 represents a tremendous opportunity to bring firms' record-keeping systems into the 21st century.
Fintech Bytes: TD Ameritrade updates trading software, Vanguard enhances robo
Plus Pontera integrates with Envestnet, Tifin announces Morningstar collaboration, and Hearsay adds features to Sites.
Advisers getting better at social media, but still have work to do
A new study analyzing social media posts from across the financial services industry found that while posts about a firm's or adviser's stance on issues are the most engaging, they account for only 1% of total posts.
