In the world of robo 2017, C.A.S.H. is king
For those of you who seek yearly prognostication, here we go. I see four factors or trends driving the evolution of robo world in 2017, and attempt to capture them here with a simple, suitable acronym:...
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Technology, Training & Compliance in Light of the Fiduciary Standard
Capturing retirement assets is paramount for brokerages. When thinking about the word saving, it is hard not to think about retirement. Brokerages are constantly looking for rollover assets, and as...
View ArticleNo lumber, no slumber: Canadian robo steps up
As I point out in my recent report on robo advisors in Canada, price points for digital advisors are on the high side, even for the lumbering Canadian advice market. Especially as these robos are not...
View ArticleImpact Investing Gains Momentum
The polarizing political climate appears to be serving as an impetus for some firms to take socially responsible investing more seriously. At today’s Impact Investing conference hosted by The...
View ArticleThe Virtual Agent: NLP in Wealth Management
NLP has many use cases in consumer banking and is gaining adoption in wealth management. In my report, The Virtual Agent: Natural Language Processing in Wealth Management, I look at some of the more...
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Celent’s Innovation and Insight Day: Wealth and Asset Management Stream
We are only weeks away from Celent's 2017 Innovation and Insight Day where we will explore how players in the financial services market are leveraging technology in innovative ways in order to...
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The DoL Fiduciary Rule: A State of Confusion
A month ago, on April 4, 2017, less than a week prior to the scheduled implementation date for the first phase of Department of Labor (DoL) Fiduciary Rule to go into effect, the DoL filed to delay the...
View ArticleRe-tweets, Re-posts and Likes are Subject to FINRA’s Digital Communication Rules
FINRA recently released their third regulatory notice around social media and digital communications. The notice “provides guidance regarding the application of FINRA rules governing communications...
View ArticleExploring “Real World Fintech” at the Temenos Community Forum (“TCF”) 2017
I had the honor of attending this year’s Temenos Community Forum (“TCF”) where the theme was “Real World Fintech”. Throughout the event, we “explored real-world examples of the latest advancements in...
View ArticleShould Asset Managers Pay for Shelf Space?
Last week a wealth management firm announced it would stop selling Vanguard mutual funds, though clients of the firm can still add money to existing Vanguard investments through 1Q18 and purchase...
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