Firms using AI tech to generate ‘customized’ suggestions for clients may not realize those recommendations still fall under the best interest rule, warned a senior director at FINRA's annual conference.
In the first of a 2-part series, Mindy Diamond and Louis Diamond share advice on the threshold questions to ask before taking meetings or calls regarding a transition.
When a close family member spiraled into a mental health crisis, advisor Paul Peeler was forced to deal with the crippling emotions and a roller coaster ride of medications and doctors.
Panelists spoke about advanced analytics’ impact on the industry during FINRA’s annual conference, while SEC Chair Gary Gensler said he’d asked commission staff to consider recommendations on rules for predictive data analytics conflicts.
