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MARTECH MINUTES: Marketing Communication Policy Gaps – A Recipe for FINRA Fines
Marketing communications policies must define advisors' client and prospect interaction protocols, which FINRA considers marketing communications with the public.
MARTECH MINUTES: A Vendor’s View – ‘FINRA Reviewed’ vs. ‘Compliance Reviewed’
As industry compliance and marketing professionals recognize, Rule 2210 aims to ensure that all marketing materials are fair, accurate, and not misleading.
MARTECH MINUTES: How Firms Can Avoid FINRA Advertising Review Fines
Many in the financial industry stray towards the vaguer side of guidelines and regulations because they can sometimes be complex and often confusing.
RegTech Stakes Rise as FINRA Intensifies Options Trading Scrutiny
In June, Gary Gensler, Chairman of the Securities & Exchange Commission (SEC), discussed his heightened interest in oversight of options trading, an activity that has continued to increase across the financial markets over the past 16 months in particular.
AI REGS & RISKS: The Future of AI in Wealth—According to Industry Veteran Mark...
By Greg Woolf, AI RegRisk Think Tank
Conversation with a Wealth Industry Leader
Last week I sat down with Mark Casady—former Chairman & CEO of LPL Financial,...
Advisor Tech Talk (Week of 4/29/25)
It was once again a busy week.
Oh, not just in wealthtech or wealth management, we just wrapped up spring break around...
The Week in Digital Wealth (4/22/25)
The industry continued moving forward, with innovation and utility converging. Growth remained unabated, showing promise.
Headlines to take note of:
IEX unveiled plans to...
Essential Edge and RegEd Partner to Deliver “End-To-End Outsourced Solution” for Branch Exams
Third-party outsourced compliance services provider Essential Edge and RegEd, which delivers compliance solutions to financial services firms, have launched a partnership to deliver “an end-to-end...
AI & Finance™ | News for the Week Ending 4/11/25
There’s a lot happening in artificial intelligence right now, and we have plenty of financial services AI headlines to report this week—but a lot...
DWN ROUNDTABLES: Agentic AI – Great Expectations Amid Expected Apprehension
For RIAs of all sizes, how successful agentic AI is in building efficiencies and driving growth for stakeholders is where the rubber will meet the road.