Marketing Technology
Get the latest news and insights about marketing technology used by financial advisors and throughout the financial services industry.
April 08, 2024
FINRA Hits BD With $500k Fine Over TextingIt also suspended the firm's CEO for not preserving and checking 10,900 text messages sent or received by 27 associated persons.
April 05, 2024
FINRA Hits Another BD in Finfluencers SweepThe promotional communications on social media platforms contained promissory language and violated organizational rules.
March 29, 2024
FINRA Hits BD With $250K Fine Over Emails, IMsH2C Securities failed to preserve and review over 1.25 million business-related electronic communications on four platforms.
March 28, 2024
10 Trends Shaping Wealth Management in 2024As many investors look beyond prioritizing wealth preservation, wealth managers must get creative, according to Capgemini.
March 25, 2024
The SEC Marketing Rule Sweep Has BegunAre you being too aggressive with your marketing efforts? Be careful.
March 14, 2024
Advisors Plan to Hike Spending on Client-Facing Tech: Survey"Investors are demanding more of their advisors and advisors are poised to deliver," Orion CEO Natalie Wolfsen said.
March 14, 2024
Using AI to Give Clients What They Want, but Aren't GettingShowing prospects what AI can do tends to "sweep them off their feet," FP Alpha's Andrew Altfest says.
March 13, 2024
4 Things Advisors Must Know About Beneficiary DesignationsAdvisors who think a will controls the disposition of all assets at death are making a big mistake.
March 07, 2024
RFG Advisory Hires Abby Salameh as Top Growth ExecThe growing RIA platform provider also brought on Brendan Frazier and Kenneth J. Kim in C-level roles.
March 07, 2024
New Marketing Rule, AI in SEC Examiners' Crosshairs"You're going to see us focusing on marketing in almost every exam," SEC's Natasha Vij Greiner says.