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Marketing communications policies must define advisors' client and prospect interaction protocols, which FINRA considers marketing communications with the public.

We don’t talk a lot about the price swings in investments and markets in our discussions of advisor technology and wealthtech—perhaps...

Things continued to look up, with regulatory issues (slightly) decreasing. Adoption continued to improve amid (rising) scams. The headlines: The SEC let go of Solana...

By Joseph N. Filosa, CFP® Financial Advisor, Principal, Opal Wealth Advisors Recent research from PwC indicates that nearly two-thirds of family businesses don’t have a...

Client engagement and data-gathering software PreciseFP is launching a peer referral program. Announced this week, the initiative seeks to harness the power of community-driven...

As we’ve said many times before in AI & Finance, it seems like artificial intelligence is everywhere today, even in financial technology, but the...

Friends, it's been another week of incredible change and it looks like this will be the norm thru the end of 2024.  Meanwhile, so much going on in digital wealth - including a deep dive into the impact Gen Z will have on wealth in the future in our Advisor Tech Talk column, a look at best practices in finserv martech and much more...READ UP!!

Hot summer came with a few moves from the regulators alongside earnings season for the first half of 2024. Consumers were (once) again in...

Last week (ended) on a positive note for the industry, with regulatory approvals balancing out enforcement actions. Institutional adoption is rising, with scam risks...

Move over millennials, Gen Z is taking over—and in this edition of Advisor Tech Talk, we’ll take a moment to consider...