Displaying 19 results
Fintech takes aim at industry’s texting-breach plague
Serial fintech entrepreneur Larry Shumbres leads the veteran leadership team launching an AI-powered compliance solution.
Florida broker-dealer faces $500k fine over texting violations
Finra finds years of compliance shortfalls at Dawson James Securities involving more than 10,000 text messages, including inadequate system for private placements.
ACA ramps up regulatory support for wealth firms
The provider of governance, risk and compliance solutions has unveiled a dedicated practice group for wealth managers.
Compliance should be a conversation
Maintaining an open dialogue lets advisors and the compliance team work through concerns together, finding solutions rather than confronting roadblocks.
SEC inquiry targets Edward Jones brokers’ use of messaging apps
Keeping tabs on texts and messaging has been difficult for the industry, and fines have been mounting.
SEC eases rules for accessing private securities markets
The changes modernize private market rules and make it easier for small companies to obtain financing, according to SEC Chairman Jay Clayton
FBI charges missing radio show adviser with mail fraud
Christopher W. Burns allegedly defrauded hundreds of thousands of dollars from clients, according to the agency
Adviser bilked more than $100,000 from investment partnerships: SEC
The regulator is seeking permanent injunctions against Oscar Haynes Morris Jr. and his RIA Lakeside Capital Partners
Massachusetts begins enforcing fiduciary rule despite Reg BI
Secretary of the Commonwealth William Galvin could take a more aggressive approach toward advice regulation than the SEC
National Holdings facing lawsuit for allegedly retaliating against whistleblower
Chief compliance officer claims she was fired for investigating insider trading by the company's chief executive
Cybersecurity hottest topic in compliance, survey finds
Cybersecurity is the hottest topic in compliance, according to a survey of compliance professionals. Other areas of interest include social media, valuation and allocation of fees and expenses
Accessing big-gun analytics
StatPro Revolution is an affordable cloud-based portfolio analytics platform that is coming of age. Whether you are…
An adviser dives into video stream
With half the world seeming to watch the other half through Skype and other online video tools, you would think that I would have no trouble finding financial advisers who use video conferencing effectively in their practices.
Make sure all your data are safe
Keeping client data safe has become even more important in light of all the sensitive information that is…
Social-media archiving, compliance solutions in focus
Financial advisers and broker-dealers apparently aren't sitting on the sidelines waiting for Finra and the SEC to figure out how the financial advisory industry should use social networking
Retirement? There’s an app for that
Imagine giving your clients an interactive retirement calculator that is about as simple to operate as an Etch A Sketch but can handle complex hypothetical scenarios — all with no initial manual data input required
A different approach to high-tech planning
Providing scalable high-tech, high-touch financial advice to the mass affluent has been a goal of adviser entrepreneurs since the days of MS-DOS. While the technology and knowledge certainly exist to make it happen, doing so successfully and profitably thus far has been elusive.
Making sense of document storage confusion
Advisers are confused and un-certain about web-based document storage and document vaults
Help in getting a handle on medical expenses
Fear and outrage had a lot to do with the creation of Ron Mastrogiovanni’s latest venture, Health- View…
