June 17, 2021
Ready Your Continuity Plans: Ex-SEC Exams Chief
Transcript Video [ 2:27 ]
The Securities and Exchange Commission will want to see what lessons firms have learned from the pandemic regarding their cybersecurity, business continuity and operational resiliency plans, Carlo di Florio tells FA-IQ sister publication Ignites.
Transcript Video [ 2:27 ]
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June 17, 2021
Goldman Lands Steward Partners for RIA Custody Unit
Steward Partners, which has 170 advisors and $23 billion in client assets, is so far the largest client for the unit launched last year.
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June 15, 2021
JPMorgan to FAs, Others: Turn Over Work-Related Texts from Personal Phones
The company wants staff to review text, WeChat and WhatsApp messages dating back to 2018 and save the messages until further notice.
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June 15, 2021
RayJay Chief to FAs: Get with the (Tech) Program
Raymond James chairman and CEO Paul Reilly believes good technology is table stakes for advice firms that want to grow.
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June 15, 2021
If You Can Dine Out, You Can Come to the Office: Morgan Stanley CEO
Morgan Stanley’s CEO warns staff in New York that they’ll “have a different kind of conversation” if they’re not back at the office by Labor Day.
Last Comment: June 15, 2021
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June 14, 2021
Let's Get Personal: Tips for Creating a 'One-of-a-Kind' Client Experience (at Scale)
Industry executives say technology, data and a little bit of planning can help provide the customized service client seek — without requiring advisors to reinvent the wheel.
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June 14, 2021
Fisher Fights Cold-Call Harassment Case; Plaintiff Drops Robo-Call Claim
Four days after Fisher Investments denied a series of allegations in a lawsuit claiming the firm violated do-not-call rules, the plaintiff dropped allegations that the money manager relied on a robo-call model.
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June 14, 2021
Clients More Open to Sharing Personal Data Than Advisors Realize
Clients will provide information. The challenge is for wealth advisors to crunch the data and respond, an EY study notes.
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June 11, 2021
Crypto Must Be Regulated to Go Mainstream: WisdomTree Transcript Video [ 2:21 ]
WisdomTree believes oversight is critical for the technology to be broadly accepted by investors, FA-IQ sister publication Ignites reports.
Transcript Video [ 2:21 ]
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June 11, 2021
Firms Should Give Clients Consolidated View of All Their Assets: Execs
The consolidated view will help with financial planning, according to Kellen Maia de Sá, principal of the financial services practice at EY.
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