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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.
The Week in Digital Wealth (10/29/24)
Product launches moved the needles with a light regulatory touch keeping things in check. That said, governments let the private sector take the driver's...
FINTECH VIEWS: Fighting the Good Fight – Q&A with Cambridge’s Larry Casey
The wealth management industry continues to invest in sophisticated tools, practices and policies to protect clients from data breaches and other security threats. The...
Advisor Tech Talk (Week of 10/23/24)
Welcome to a big week in wealthtech where the news was bolstered by a couple of active industry conferences. Before we...
FusionIQ Names Eric Noll CEO, Secures Major Growth Investment
In a strategic move aimed at accelerating its presence in wealth management, FusionIQ has announced Eric Noll as its new Chief Executive Officer, replacing...
The Week in Digital Wealth (9/10/24)
Integrations and partnerships helped improve customer experiences alongside new product features. Government regulation remained light touch as the focus shifted towards improved utility.
Headlines to...
FINTECH VIEWS: Securing Cyberspace: How Advisory Firms Can Combat Vulnerabilities
As the July 2024 CrowdStrike outage reinforced, cyber incidents can be devastating whether they originate with a bad actor or not. That’s why, across...