The Practice: Technology
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April 18, 2019SEC Warns of Key Risks for Client Privacy and Data SecurityThe regulator’s examiners found various instances of inadequate safeguards and missing polices and procedures.No Comments
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April 16, 2019Why Advisors Say They're Moving to SEI's Revamped PlatformFAs particularly like the platform's tax planning and process optimization features.No Comments
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April 10, 2019Why Merrill Lynch is Placing 300 Merrill Edge Advisors in Wealth Management OfficesThe wirehouse hopes to capture and retain younger clients who don’t yet meet minimums for traditional financial advice.Last Comment: April 10, 2019
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April 1, 2019Citi to Roll Out Digital Financial Planning PlatformThe platform integrates digital-based advice with calibration by financial advisors or relationship managers.No Comments
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March 29, 2019SigFig Rolls Out Digital Advice Platform for Retail BanksSigFig Atlas will offer robo-advice as well as recommend banking products.No Comments
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March 27, 2019Watchdog Ponders Special Regs for Cryptocurrencies and Digital AssetsMeanwhile Finra’s first digital assets-related enforcement action fell under existing rules.No Comments
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March 26, 2019Advisors Spend Less Than 20% of Their Time Meeting Clients, Study ClaimsThis could lead to FAs seeing each client as little as twice a year.Last Comment: March 26, 2019
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March 22, 2019SEC Adopts Simplified, Modernized Company Disclosure RulesAmendments include ability to redact certain confidential information while requiring documents to be hyperlinked.No Comments
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March 22, 2019Finra Says Member Fees Will Be Steady in 2019, But Doesn’t Rule Out Future IncreasesBut continued reliance on reserves would lead to several years of net losses for the industry body.No Comments
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March 21, 2019Launch of a New Digital Loan Marketplace for RIAs Speaks Volumes About the Current M&A ClimateIt’s apparently the first of its kind but experts say advisors may need to be wary.No Comments
