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Advisor Group Introduces Fully-Integrated Dashboard and ‘Reg BI-Ready’ Enhancements to Leading Digital Account Management Platform

Advisor Group Introduces Fully-Integrated Dashboard and ‘Reg BI-Ready’ Enhancements to Leading Digital Account Management Platform

Advisor Group, the network of independent wealth management firms, today announced the rollout of its new eQuipt Dashboard for financial professionals to facilitate compliance with the SEC’s new RegBI by…

InvestorCOM: Why Wealth Management Needs RegTech

InvestorCOM is a provider of regulatory compliance software and communications solutions.

Best Interests for Advisors: Your Compliance Program’s Reality Check

Best Interests for Advisors: Your Compliance Program’s Reality Check

Compliance norms change constantly. They change as business innovates and regulatory priorities and leadership shifts. Beth Haddock, Managing Partner at Warburton Advisers, discusses what new developments advisors should understand and…

WealthTech Regulatory Aspects Explained: What Should Startups Keep in Mind

WealthTech Regulatory Aspects Explained: What Should Startups Keep in Mind

Let's outline the basics about regulations that every WealthTech executive should be aware of. Learn the main regulations and bodies to deal with to start a new business, what activities…

Robert Seidman

Offering Manager at IBM Watson Financial Services

WealthTech Insights #70 with Rob Seidman. Should a Wealth Management Firm Do Cybersecurity?

With Robert Seidman, Offering Manager at IBM Watson Financial Services, we discuss data security issue in WealthTech. Should they rely on counterparties to secure systems and data or tackle cybersecurity…

SmartRIA: All-in-One Platform for Federal and State Compliance

SmartRIA provides robust, comprehensive software for helping independent wealth managers to grow their business and stay independent while maintaining compliance with federal and state regulations.

Practifi: Intercontinental Business Management for the Modern Advisor

Practifi is the business management platform for financial advice, retirement and insurance.

Stephen Huppert

Head of Engagement at Optimum Pensions and Director…

WealthTech Insights #24 with Stephen Huppert: Superannuation funds demystified

With Stephen Huppert, a Melbourne-based superannuation expert who recently started his own independent consulting practice, we discussed the difference between robo-advice and digital advice, AI, machine learning, data analytics, regulations…