wealth management

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Where Are They Now? The DOL Fiduciary Rule’s Stakeholders

Where Are They Now? The DOL Fiduciary Rule’s Stakeholders

Chris Monaco
Written by Chris Monaco August 30, 2016

As we approach the six-month mark of the Department of Labor’s final ruling on fiduciary care within wealth management, it’s worth looking at where, legally speaking, the piece stands, how affected parties are responding, and which specific points offer the most complexity in terms of compliance. Legal Challenges The first hearing against the DOL ruling…

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Will Investors Soon Say "Domo Arigato, Mr. Roboto"?

Will Investors Soon Say "Domo Arigato, Mr. Roboto"?

Chris Monaco
Written by Chris Monaco July 14, 2016

The proliferation of robo-advisor platforms has been well documented and referenced over the past year, with much of the technology’s development and usage focused on penetrating the millennial investor market segment. As the future of wealth management resides within the bank accounts and investing behaviors of the U.S.’s largest working generation, the existence of these…

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5 Things Advisors Need to Know about the DOL Fiduciary Rule

5 Things Advisors Need to Know about the DOL Fiduciary Rule

Craig Dunham
Written by Craig Dunham April 21, 2016

Editor’s Note: As of February 3, 2017, the fiduciary rule’s April deadline has been delayed per executive order of President Trump. The Department of Labor has 90 days to evaluate the regulation and determine its future status. Back in January, a new fiduciary rule under the Employee Retirement Income Security Act (ERISA) that had been…

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How Financial Services Firms Can Avoid the Quarter-End Headache

How Financial Services Firms Can Avoid the Quarter-End Headache

Alyssa Drury
Written by Alyssa Drury March 15, 2016

It’s almost that time again…the end of the quarter. Marketing teams at financial firms around the globe are taking aspirin and getting sleep in while they can in preparation of the long, tedious hours ahead of updating sales and marketing materials. It’s an ironic process; firms make these updates a top priority yet the updating…

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Robo-Advisors Lean on Humans to Lower Investors’ Anxiety

Robo-Advisors Lean on Humans to Lower Investors’ Anxiety

John Riley
Written by John Riley February 12, 2016

For all the talk about the advantages of automated investment platforms, when market volatility spikes, even the most “techy” robo-advisors turn to humans for help. Like all other investors, robo-advisors’ clients don’t live under rocks.  They’ve seen the signals of a slowing global economy, the plunge in oil prices, and the uncertainty about interest rates…

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Broker-Dealers and Wealth Managers Prepping for DOL Fiduciary Rule

Broker-Dealers and Wealth Managers Prepping for DOL Fiduciary Rule

John Riley
Written by John Riley February 3, 2016

Does the professional who’s selling you investment products always act in your best interest? Or is that person more concerned with lining his or her own pockets? When it comes to selling certain retirement products, the Department of Labor (DOL) wants to make sure it’s the former and not the latter. That’s the intent of…

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Advisors and Social Selling: Moving Up the Learning Curve

Advisors and Social Selling: Moving Up the Learning Curve

John Riley
Written by John Riley January 28, 2016

From 2005 through 2010, while social media use exploded worldwide, compliance concerns kept wealth management and other financial services firms on the sidelines. By 2011, regulators finally began issuing the guidance these firms needed to create corporate social media policies. With the roadblock removed, the race was on among firms and their financial advisors to figure…

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Advisors Should Differentiate on Value to Avoid Robo Disruption

Advisors Should Differentiate on Value to Avoid Robo Disruption

John Riley
Written by John Riley January 21, 2016

Anyone who keeps tabs on financial services trends knows that one of the hottest topics in the industry of late is robo-advisors. Indeed, it has been hard to miss all the dire stories about how these automated advice platforms will massively disrupt the traditional wealth management business. The conventional wisdom was that by using technology…

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5 FinTech Trends to Watch in 2016

5 FinTech Trends to Watch in 2016

John Riley
Written by John Riley January 15, 2016

Here at Seismic, we spend lots of time with senior executives from institutional financial services firms. Most of our interactions are with leaders of marketing, distribution, and compliance teams at asset management and wealth advisory firms. From those conversations, and from information culled from the trade and business publications and portals we scour daily, we’ve…

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