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Cetera and Riskalyze form Strategic Alliance to Create Best in Class Risk Management Ecosystem...
Riskalyze, the company that serves tens of thousands of financial advisors with risk alignment and portfolio analytics, and Cetera, a leading financial advice firm, today announced a new enterprise agreement aimed at standardizing risk management across Cetera’s network of firms to set a new bar for measuring risk and engaging clients.
INX Management Joined By Former Playtech CMO And M1 Finance Compliance Officer
INX Limited, the blockchain-based platform for trading digital securities and cryptocurrencies in accordance with SEC, FINRA and EU regulations, announced the appointment of Itai Avneri as Chief Operating Officer (COO) and Jon Rios as Chief Compliance Officer (CCO).
Advisor Domain: How Smaller Financial Firms Can Protect Themselves from Cyber Attacks
Cybersecurity is a hot topic in the wealth management industry, but in all the conversation about major breaches and new security paradigms, one audience is usually left out: small broker-dealer firms and RIAs.
Advisor Domain: Email Archiving: The Broker-Dealer’s First Line of Defense with Regulatory Penalties
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).
Adviser Domain – New Risk Alert Issued From SEC Includes Cybersecurity
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...
Adviser Domain – New Cybersecurity Program for Financial Planners Launches
Financial Planning Association launches new Cybersecurity for Financial Planners
tZERO ATS Market Data Now Available on Financial Market Data Platform Refinitiv
tZERO announced today that its subsidiary, tZERO ATS, a FINRA member broker-dealer that operates an Alternative Trading System (ATS), has completed a technology integration with Refinitiv, one of the world’s largest providers of financial markets data and infrastructure and formerly Thomson Reuters’ Financial and Risk business.
VIDEO: Y’all Street Report with Jim Row
Jim Row of Entoro Capital discusses Robinhood and what you should know about its operations and how it makes money...
Fintech Luminaries – Meet Brian Cramer of Smarsh & Tim Estes of Digital Reasoning
On Tuesday, Nov. 10, Smarsh, a leading provider of data supervision software for electronic communications, with a particular...
Smarsh Acquires Digital Reasoning, Combining Global Leadership In Artificial Intelligence And Machine Learning With...
Smarsh®, enabling organizations to manage risk and uncover value within their electronic communications, announced the acquisition of Digital Reasoning