FinTech

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Ask Not When, But How AI Will Change Wealth Management

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Wealth management firms need to think critically about why AI may or may not work for their industry.

Sam Bankman-Fried Won't Be The Last Crypto Mogul Behind Bars

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The culture surrounding Bitcoin and other forms of digital money remains toxic.

Asset Manager Websites Failing To Engage Advisors, Says Study

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J.D. Power says a bad site can send advisors elsewhere.

If You Hate Your Compliance Officer, Wait Until You Meet The CISO

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Finding a chief information security officer will be challenging and expensive.

More Investors Acting On Social Media Financial Tips, TD Wealth Says

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Any information gained on networks like TikTok or X (formerly Twitter) should be vetted by a financial professional, a TD Wealth executive said.

Talking Bots

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How will AI be used by advisors? And how can they do it ethically?

Orion Streamlines Trading Process For Advisors

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Orion users can now trade directly from Portfolio View, Orion's traditional advisor portal.

Quantum Computing Could Transform Securities Industry, Finra Says

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The regulator also warned that the powerful computing technology could be used as a tool by hackers.

Half Of Firms Have AI In The Works, Survey Says

by FA Staff

Most wealth management firms see AI as inevitably changing the way money will be managed.

The Tale Of Two Executive Roles In Cybersecurity Compliance

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Compliance and IT departments must work together, given the complexity of emerging technologies.

Savvy Nabs $80M AUM South Florida Advisor From LPL

by FA Staff

Michael Most specializes in serving corporate executives, business owners and the mass affluent.

Financial Industry Groups Oppose SEC's AI Conflicts Proposal

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The Investment Company Institute said the rules would take the industry back to the "Stone Age."

Accenture Rolls Out Advisor Digital Platform

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Wealth Navigator consolidates client relationship management workflow, the firm said.

JPMorgan's Dimon Predicts AI Will Lead To 3.5-Day Workweek

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He also warned that the technology can be used by "bad people to do bad things.”

How Big A Gamble Is Monte Carlo For Advisors?

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The popular simulation has its pros and cons, experts say.

More Wall Street Brokerages Pay Fines In SEC WhatsApp Probe

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Regulators say it is significantly harder to investigate wrongdoing when firms fail to save records.

Retirement Plans Improve Digital Experience, J.D. Power Says

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Investing in digital technology can help firms remain connected with their clients, the firm says.

AssetMark Fined $18 Million For Hiding Cash Sweeps And Revenue-Sharing Conflicts

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The firm allegedly failed to disclose conflicts of interest on the programs, leading to a $9.5 million civil penalty.

SEC Collects Private Messages In WhatsApp Probe, Reuters Says

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The regulator is reviewing messages discussing work sent on personal devices or applications.

How Cyberthreats Will Raise Advisor Costs, Cut Income And Irritate RIAs

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Here are the steps that industry participants will have to take to prevent outsiders from stealing client information.

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