Advisor Tech Talk (8/31/21)

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Millennials are poised to flock to robo advisors, wealth management platforms are becoming increasingly automated and M&A is afoot in the wealthtech space. 

Advisor Domain: Email Archiving: The Broker-Dealer’s First Line of Defense with Regulatory Penalties

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The ongoing coronavirus pandemic notwithstanding, FINRA continues to proceed at full speed when it comes to penalizing financial advisors for noncompliance with recordkeeping and supervision obligations. In particular, one recurring area where significant penalties can be imposed is with a financial advisor’s outside business activities (OBA).

Advisor Group’s MyCMO Gives New Edge to Super-OSJs in Recruiting Wars

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When Susan Theder of Advisor Group first launched MyCMO in 2017, it was the culmination of a clear vision: Creating a user friendly, integrated platform of digital marketing communications tools for independent financial advisors to adopt for the purposes of winning new clients while engaging with existing relationships.

RegTech Firm Smarsh’s Annual Survey Underscores Rising Compliance Risks of Remote Work Model

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The 10th Annual Smarsh Risk & Compliance Survey, which encompasses 450,000 professionals supporting more than $1.3 trillion in assets under management, emphasizes that the widespread and rapid shift to remote work models in response to the pandemic is unlikely to be fully reversed, with many wealth management firms likely to embrace large populations of remote employees going forward.

Advisor Domain: Heed the Warning, Don’t Be a Statistic

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Garrett Baldwin's Weekly Take on Cybersecurity in Wealth Management

Advisor Tech Talk (6/23/21)

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The summer doldrums may be upon us but not the wealthtech space, where activity is bustling. Advisor tech firms are busy building, strengthening their offerings and adapting to a changing financial advisor landscape.

Advisor Tech Talk (6/9/21)

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The advisor-Tech segment has been bustling with deals, including new partnerships, mergers and more for the week of 6/9/21.

Tips for Selecting Essential Tools to Optimize Your Tech Stack

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A fully integrated tech stack is the backbone of any financial services firm that wants to effectively communicate with clients and grow AUM. Unlike spreadsheets of the past, an integrated tech stack enables efficiencies, automate processes and eliminate duplication of efforts.

Technology’s Evolving Role in Financial Advisor Transitions

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As the recruiting wars among independent wealth management firms continue to heat up, Digital Wealth News caught up with Jeff Nash, Founder and CEO of BridgeMark Strategies, to discuss the evolving role of technology in financial advisor transitions from one firm to the other.

Advisor Tech Talk: 9/21/21

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Financial advisors are doing deals, strengthening their technology offerings and battening down the cybersecurity hatches.