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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...

Utility continued to be the focus on all fronts, with partnerships forming a backbone for activities. Tech integrations were in focus, with niche segmentation...

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...

By Greg Woolf, AI RegRisk Think Tank With all the drama unfolding at OpenAI over the last year, the Senate is getting concerned that the...

Humor becomes reality. Some things are really humorous (hilarious) and some things are sadly humorous. Since it's summer and generally a slow time in...

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