Data and information management

Artificial intelligence can help wealth managers serve clients better, but some say the technology is too immature to be useful right now.

Some advisers are actually embracing changes by making the rules work for them.

Those unwilling to embrace technology will be left behind, wealth management leaders warn.

Help could be on the way for retirement-age clients asking prickly questions about coverage options.

Even as the agency refines its approach to spurring good cybersecurity practices in advisers, its expectations aren't slackening. Here’s what to expect.

RIAs using digital platforms will face scrutiny about disclosure and client communications.

Facial recognition software is more efficient and accurate than any questionnaire, says the IBD's chief executive, Robert Moore.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

The OCIE is suggesting best practices for firms to protect themselves.

In 2016, the SEC brought a record 868 cases, including 173 against broker-dealers and advisers and 159 against investment companies.

The partnership “shows just how much technology is being democratized and customized,” according to one researcher.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

Even though the rule has been delayed, the issues raised by it still need to be addressed by advisers, according to industry insiders.

Access to banking information ensures advisors can perform holistic planning, fintech firms say.

Salesforce is the latest to offer advisers data-driven insights into clients.

If employees are not properly trained, no amount of spending can prevent a breach, according to cybersecurity expert Jonathan Hard.