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

Wealth management platforms are in a steady buying spree, snapping up tech firms that can give them extra features to offer clients.

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

The launch comes as banks and other players in the advisory industry vie for the $30 trillion in wealth that is expected to change hands in next several decades.

Self Lender and Wela, two fintech startups, are making their marks on the PFM space by providing incentives to users to manage their money wisely.

Banks have warmed up to digital wealth management tools but will need to use their human advisers, too, to beat fintechs.

Regulatory direction on mobile communication shows why advisers need to be careful about hyperlinking information.

The digital platform was intended for use by all of the firm's wealth advisers.

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

It's the second acquisition in recent months for the WisdomTree-backed platform.

The offering provides a new way of investing in cryptocurrency.

Managing too many tasks at once can alienate your clients, an expert warns.

A former pro of an early financial planning tool learns how much has changed — and how little — as she keeps up with exponential tech advances.

From BlackRock CEO Larry Fink to author Michael Lewis, here are the most thought-provoking remarks made at the asset manager's annual conference.

Mastering technology is no longer an option for advisers, but an imperative.

Mastering technology is no longer an option for advisers, but an imperative.

CEO Larry Fink aims to ramp up technology offerings for advisors, from BlackRock's robo platform to Aladdin, a data and risk analytics platform.

Advisers must integrate risk management, invest in technology and take control of what they can.

Advisers must integrate risk management, invest in technology and take control of what they can.