The Practice: Technology

RIAs Have Little to Worry About as SEC Probes Digital Engagement Practices: Exec

September 27, 2021No Comments

Carson Group director of product strategy Andrew Rogers said registered investment advisor firms typically don’t let clients invest directly without advisor input.

Big Wealth Brands Battle for Robo-Investor Attention

September 27, 2021No Comments

Robinhood, Mint and Acorn have high awareness among investors, beating established players like Fidelity and Vanguard, according to Hearts & Wallets.

RIA Consolidation? It's Just Getting Started: Execs

September 24, 2021No Comments

August was the third most-active month for both mergers & acquisition transactions and highest client asset volume since Fidelity Investments began tracking the data in 2016.

So You've Vetted Your Tech Vendor. Do it Again. And Again

September 24, 2021No Comments

Emails and file sharing are potentially the biggest cyber vulnerabilities of many firms, according to one executive.

UK-Based Revolut to Roll Out Commission-Free Stock Trades in US

September 23, 2021No Comments

Like Robinhood Financial, Revolut will earn money from payments for order flow.

Burning the Midnight Oil May Cost You in ETF Trading: Vanguard

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Burning the Midnight Oil May Cost You in ETF Trading: Vanguard

JPMorgan Buys Financial Planning Platform for College Students

September 23, 2021No Comments

Frank has served five million students across 6,000 educational institutions in the U.S., according to JPMorgan Chase.

SEC Can’t Wait for ‘Spill in Aisle Three’ to Regulate Crypto: Gensler

September 22, 2021No Comments

The regulator’s chair compared cryptocurrencies to the disparate private monies of the so-called Wildcat banking era in the mid-1800s.

Regulatory Inaction, Market Fairness Bigger Concerns Than Gamification

September 21, 2021No Comments

The Securities and Exchange Commission’s request for comments on digital engagement practices was an opportunity for many commenters to complain.

FAs Return to LPL After Years with Wells Fargo

September 21, 2021No Comments

NorthShore Financial is the first all-woman team to join LPL Financial’s wirehouse breakaways model.