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Summary: Welcome to the June edition of the Riskalyze Fintech Review, where Riskalyze CEO Aaron Klein gives you the thumbs up or thumbs down on the biggest pieces of news to hit advisor technology in the last month.
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Summary: Financial adviser Ross Levin recently received an email purporting to be from a client requesting a $50,000 wire transfer for a down payment on an investment property.
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Summary: As cyberattacks continue to grow in sophistication and global scope, protecting clients’ sensitive financial information from hackers—while adhering to evolving financial services industry regulations—is more critical than ever. Broker/dealers and registered investment advisors (RIAs) that suffer data breaches are not only subject to regulatory fines and investigations but also to permanent damage to their reputations.
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Summary: Over 90 advisors responded to a survey I conducted earlier this year with Advisor Perspectives. Here are the important insights into which activities help find new business for RIAs and IBDs.
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Summary: Regulation can be just as much a friend of the advisory industry as an enemy — as long as firms can keep an open dialogue with regulators and a steady eye on the future.
