Both were reported recently to Maine’s Attorney General, which publishes such incidents online. LPL reported its data breach ...

Camilo Artiga-Purcell flags up some of the cybersecurity, data protection and privilege risks associated with client-intake ...

In mass tort cases, the data that plaintiffs firms collect during client intake is needed to understand both the strength of each of their client's claims and the strength of their overall portfolio ...

Client management platforms have become an essential part of an RIA’s tech stack as these tools make it easier to access and update customer information. The Financial Industry Regulatory Authority ...

(Bloomberg) -- The new staffer was supposed to help Toronto-Dominion Bank spot money laundering from an outpost in New York. She instead used her access to bank data to distribute customer details to ...

Charles Schwab is taking one of its former reps to court, accusing him of being a “disloyal employee” who allegedly departed wielding trade secrets on thousands of Schwab clients. Schwab filed a ...

You can probably tell when your clients are drowning in too much information. Daily bombardments of intra-day trading figures, predictions of doom from TV experts who have no personal stake in the ...

As legal practices increasingly adopt generative AI (GenAI) technologies, protecting attorney-client privilege and client confidentiality has become a pressing concern. Recent data reveals that 81% of ...

The Data Scramble: sounds like a fun game, right? In real life, it is anything but. Just ask all the advisers, paraplanners ...

Ameriprise Financial alleges a California-based competitor actively recruited away its financial advisers, then instructed those advisers to illegally take Ameriprise client information. The ...

As wealth management firms gear up to spend big on technology in 2023, wealthtech solutions focused on a smooth experience and deep insights are poised to get a significant piece of the pie.

Onboarding new clients is a notoriously onerous and time-consuming process for financial advisors, but it’s necessary for a successful relationship. Here’s how to make sure you’re gathering the right ...