In a highly regulated space like financial services, it makes sense that there’s still confusion surrounding the legal obligations for firms engaging in one-to-one client texting. Many firms err on…
Understanding Regulatory Guidance and the Real Risks Around Initiating Client Texting
In a highly regulated space like financial services, it makes sense that there’s still confusion surrounding the legal obligations for firms engaging in one-to-one client texting.
On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the fiduciary…
It’s been a long time coming, but it’s finally here. Compliance experts have been talking about these changes since April 2018, when our own Deep Kingra participated in a compliance…
I had the privilege of moderating a session on “Compliance Trends in Advisor Communications” at Hearsay Summit this year. The session was well attended by compliance officers from enterprise wealth…
One of my favorite things about Hearsay Summit each year is the Hearsay Systems Innovator Awards. Not only is it a chance to recognize and celebrate our customers – indisputable…
Find out what content engages clients at the highest rates across the financial services industry – wealth, life, P&C and mortgage. Hearsay Summit kicks off today and we are thrilled…