Marketing

Regulators promise to pay special attention to how firms are using technology to not only guide investments but also to protect client data.

State regulators discovered fewer deficiencies with investment advisors but some say they could be doing more to protect vulnerable clients.

The advisors were all charged with advertising hypothetical performance results without taking into account the particular needs of their audiences.

Taylor Swift's impressive financial and career success hold many lessons for financial advisors, whose ranks include her own father.

Other states are likely to look to Massachusetts for guidance on how far they can go in holding broker-dealers to a higher standard than Regulation Best Interest.

The marketing technology firm's new drag-and-drop tool includes AI-powered tools for headline writing, image generation and calls to action for clients.

Between conflicting data points and countless buzzy 'best practices,' it's easy for advisory firms to get caught up in the weeds on the elusive business booster.

Matchmaking services offer the promise of lead generation without the hassle of cold calling. But do they deliver?

Canadian CI Financial, in rebranding its U.S. wealth business, joins several other industry firms that recently played the renaming game.

The move comes amid predictions that clients will increasingly base wealth management decisions on online testimonials and ratings.

A prominent compliance consultant lists the top reasons firms turn to outside experts for regulatory assistance.

Advisors identified the SEC's new marketing rule as the "hottest" regulatory topic for the third year in a row.

A new study by Financial Planning parent company Arizent shows that firms are missing a big opportunity to get ahead on winning in the wealth transfer race.

INVEST 2023 panelists and the latest SEC risk alert suggest the regulator will treat the rule much like one that has cost big Wall Street firms more than $2 billion in fines.

A top FINRA enforcement official warns that firms' internal compliance systems are not clued in to the often ambiguous meanings of the symbols now peppering many financial planners' communications.

Financial advisors say they can help combat the flow of misguided and misleading recommendations by posting more frequently and establishing more of a social media presence.

In a crowded market, aiming to serve clients in a specialized area can help advisors differentiate themselves from the pack.

It may take time, trial and error but the turbo-AI tool is worth integrating into an advisory firm's marketing technology stack.

Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.

Choosing the right strategy can lead to more clients and achievement of a firm's goals.