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AI REGS & RISKS | Regulators Don’t Want You Using Cloud-Based GenAI Yet
By Greg Woolf, AI RegRisk Think Tank
Before financial institutions can fully embrace generative AI, regulators are sending a clear warning: not so fast. The Treasury Department,...
TradingBlock Taps Network Veteran Dave Gustafson to Enhance Trading Infrastructure
Chicago-based online broker TradingBlock announced this week that Dave Gustafson, a seasoned technology executive with more than 25 years of experience, has joined the...
Advisor Tech Talk (Week of 9/8/25)
What a week for wealth management!
Welcome to a big edition of Advisor Tech Talk, because after a huge week in wealth...
AI REGS & RISKS: And So… Regulatory Chaos Ensues
By Greg Woolf, AI RegRisk Think Tank
The Senate’s 99-1 vote on July 1 to delete a ten-year freeze on new state AI laws from...
Advisor Tech Talk (Week of 6/16/25)
Wealth management industry awards are mostly hokum, and we all know it.
Welcome to another week’s Advisor Tech Talk, and we’ll get...
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...