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XYPN co-founder Michael Kitces and Nitrogen CEO Aaron Klein both said the industry too often puts practitioners into the role of marketing growth engines at the Wealth Management EDGE conference.
During a panel at the WealthManagement EDGE conference, the head of Mango Digital Strategies worried CEOs of crypto exchanges may opt to move to international locations trying to position themselves as crypto hubs.
Preliminary results from a targeted exam indicated communications related to crypto asset securities products and services had four times the non-compliance rate of other kinds of products.
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.
