FinTech

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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.

FMG Suite Acquires Compliant Text Provider MyRepChat

by FA Staff

MyRepChat holds a 0.5% market share among compliant social media archiving providers, according to Kitces.com.

What's Driving RIA Innovation?

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Wealthtech providers have a front seat to the adoption of new platforms and products.

How Generative AI Can Empower Women In Financial Services

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By harnessing unbiased AI tools, we can help women envision and achieve success.

Why Wealthtech M&A Is Rebounding After 2022 Slowdown

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The drive for more technology-led efficiencies to offset fee pressures will continue to be a catalyst in the sector.

SEC's Gensler Says Deepfakes Pose Real Risk To Financial Markets

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Gensler has also been sounding the alarm on AI's ability to spark a future financial meltdown.

Compound Merges With Alternativ Wealth

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The firms will combine their technology and wealth management services into one entity called Compound Planning.

13 Trade Groups Demand Withdrawal Of SEC's 'Fatally Flawed' Analytics Rule Proposal

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In a first, SEC wants to force "elimination" of conflicts, ensnaring even advisors' use of Excel spreadsheets, 13 trade groups said.

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