The regulator continues a push to crack down on the tracking and use of ‘off-channel’ client communication, such as texting. The Securities and Exchange Commission on Wednesday announced charges ...

As mobile apps provide new avenues for advisory firms to connect with clients, a greater focus needs to be placed on keeping those connections compliant. To help firms ensure that their off-channel ...

Last month, two new studies were published on the current state of client communication in the wealth management industry and the impact is has on each financial advisor’s business. Spoiler alert: It ...

Effective communication is the cornerstone of any successful agency-client relationship. As an agency leader, fostering clear and open lines of communication between your team and your agency’s ...

What a difference a year—and an election—makes. It was only last fall when the SEC was issuing major fines against brokerage firms for communicating with clients off the approved channels. In January ...

Surveillance, monitoring, escalation, and reporting are critical components to regulatory compliance and risk management. So is consequence management. These are especially important given the major ...

Omar El Bahr is the communication officer at nandbox, he's on a quest to enable everyone to build a mobile app for affordable prices. Digital communication is quickly becoming the norm in the business ...

March 20, 2024 - Protecting communications in the private workplace has always been challenging. Our constitutional privacy protections are geared to protecting U.S. citizens from the government, not ...

On September 27, 2022, the U.S. Securities and Exchange Commission (SEC) announced settlements against 11 major financial institutions, resolving an industry sweep into employees improperly using ...

In estate planning, particularly for high-net-worth (HNW) clients, client communication and clearly explaining technical concepts are critical but can be challenging. Ultimately, for estate-planning ...