Omnichannel is a proven strategy, and the jump in adoption over the past decade is a clear signal of its effectiveness in meeting consumers where they are and where they want to engage. “What we think ...

After facing years of hair-raising fines and penalties around recordkeeping violations, some RIA firms might take recent leadership and organizational changes at the Securities and Exchange Commission ...

Off-channel communications have topped investment advisors’ list of ongoing compliance concerns, dethroning the SEC’s Marketing Rule, according to new survey report. The 2024 Investment Management ...

Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel electronic communications. Additionally, nine other firms settled similar ...

As long as the firm approves a particular modality for business purposes and establishes the necessary infrastructure to capture, archive and monitor the approved modality, it will be considered ...