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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).

It’s a busy, yet short week for advisers. So, I wanted to provide a brief recap on some of the stories we’ve focused on this year at Adviser Domain. But first – an important update from the SEC...

Smarsh, enabling organizations to manage the risk and uncover the value within their electronic communications, today announced direct carrier capture and archiving support for T-Mobile for Business. Smarsh helps regulated organizations capture, archive and search text messages to meet regulatory compliance mandates and e-discovery challenges.

Independence means freedom from outside control. However, it’s not without outside influences or competitive forces...

Blockchange Inc. today announced the addition of fourteen new digital assets to its BITRIA™ Digital Turnkey Asset Management platform for registered investment advisors

Adhesion Wealth® (Adhesion), a Vestmark company, and TradePMR today announced the outsourced investment management solution is now available to registered investment adviser (RIA) customers utilizing TradePMR’s Fusion platform.

On Tuesday, Nov. 10, Smarsh, a leading provider of data supervision software for electronic communications, with a particular...

Smarsh®, enabling organizations to manage risk and uncover value within their electronic communications, announced the acquisition of Digital Reasoning

TOM Group Limitedhas entered into an agreement to make a follow-on investment in MioTech, a Hong Kong/China based artificial intelligence platform which provides comprehensive ESG solutions to financial institutions and listed companies in the Greater China region using cutting-edge machine learning and natural-language processing technology

ScratchWorks, a leading FinTech accelerator, today announced that Lifeworks and ReAllocate received a combined $5,000,000 of funding in its 3rd annual competition to connect innovative tech companies with investment and wealth management luminaries to advance the digital transformation of the financial services industry