Wondering about the strengths and weaknesses of regtech products? Get our insights here.
What does regtech collaboration across the regulatory ecosystem involve? Get our take here.
Need help navigating the quickly evolving regtech market? Get some clarity here.
Wondering about the relationship between fintech and regtech, and the future of both? Get our insights here.
Confused by the complex regulatory landscape of cryptocurrencies and other digital assets? Get our in-depth analysis here.
Need help navigating the regulatory gauntlet of registering a digital asset fund? Get our advice here.
Confused about the ins and outs of cryptocurrency and what it means for RIA firms and your clients? Get some clarity here.
Meet our partners Divya Prashanth and Janine Miles of MySocialPulse and get their expert advice for leveraging AI and ML tech to manage RIA compliance.
Discover how some financial services firms are currently leveraging artificial intelligence and machine learning in fintech and regtech.
Check out the ways artificial intelligence and machine learning are playing increasingly important roles in fintech and regtech.
Get insights into the unique challenges CCOs face and tips for rethinking RIA compliance through the Framework for CCO Liability in the Financial Sector.
Our last post on the new SEC marketing rule covered some basics, including the newly expanded definition of advertising and the seven general prohibitions that apply to all ads. In this post, we describe key ways technology can be leveraged to implement the new rule. Upcoming posts in this series will examine testimonials and endorsements, presentation of performance results, third-party ratings, record-keeping and Form ADV requirements, review and approval of advertisements, and overall best practices.